financing plan (in us$):€¦ · web viewtonga has shown commitments on ndc, tonga energy road...

PART I: PROJECT INFORMATION

Project Title: Technology Needs Assessments (TNA) Phase IV

Country(ies):

Bahamas, Comoros Union, Ethiopia, Guinea-Bissau, Kiribati, Lesotho, Maldives, Niue, Papua New Guinea, Saint Kitts and Nevis, Solomon Islands, Somalia, South Sudan, Timor-Leste, Tonga, Tuvalu and Yemen.

GEF Project ID: 10171

GEF Agency Project ID: 01807

Submission Date: 06 March 6, 2020

GEF Agency(ies): United Nations Environment Programme (UNEP)

Project Executing Entity(s):

UNEP DTU Partnership (UDP)National Agencies

Expected Implementation Start 01 July 2020

GEF Focal Area (s): Climate Change Expected Completion Date 30 June 2023

Type of Report(s): UNFCCC Technology Needs Assessment Expected Report Submission to Convention

30 September 2023

A. FOCAL/NON-FOCAL AREA ELEMENTS

Programming Directions Trust Fund

(in $)GEF Project

Financing Co-financing

CCM-EA: Foster enabling conditions for mainstreaming mitigation concerns into sustainable development strategies through enabling activities

GEFTF 4,590,000 1,535,000

Total Project Cost 4,590,000 1,535,000

B.PROJECT DESCRIPTION SUMMARYProject Objective: Provide participating countries targeted financial and technical support to prepare new or updated and improved TNAs, including TAPs, for prioritized technologies that reduce GHG emissions, support adaptation to climate change, and are consistent with Nationally Determined Contributions and national sustainable development objectives

Project Components

ComponentType Project Outcomes Project Outputs Trust

Fund

(in $)GEF Project

FinancingCo-

financing1. Technology Needs Assessments (TNA) and development of Technology Action Plans (TAP)

TA Outcome 1. TNA process conducted by national stakeholders, and TNA/TAP results are available to be integrated into national planning processes and to be funded and implemented by interested stakeholders

Output 1: Tools, methodologies and capacity building packages are further developed and applied to support the implementation of the TNA/TAP process

Output 2: TNA and TAP reports completed, including project ideas, with national consensus on concrete actions for implementation

GEFTF 4,112,808 1,496,322

Evaluations GEFTF 60,000 0Subtotal 4,172,808 1,496,322Project Management Cost (PMC) GEFTF 417,192 38,678Total Project Cost 4,590,000 1,535,000

GEF 7 Enabling Activity Template- March 15, 2019 (revised)

GEF-7 REQUEST FOR CLIMATE CHANGE ENABLING ACTIVITYPROPOSAL FOR FUNDING UNDER THE GEF TRUST FUNDPROCESSING TYPE: NON-EXPEDITED

1

Note on PMC: as for the two previous global TNA projects funded by GEF, the TNA Phase IV project covers multiple countries (17 in total) and each country has its own project cooperation agreement and workplan. For this reason and in line with practices from previous global TNA projects approved by the GEF, the level of PMC required is similar to that of a Medium-Size Projects, i.e. up to 10% of the Subtotal project cost. This is explained and justified in greater details in Section “F. Explain the deviations from typical cost ranges” of this EA request.

C.SOURCE OF CO-FINANCING FOR THE PROJECT BY NAME AND BY TYPE, IF ANY

Sources of Co-financing Name of Co-financier Type of Co-financing

InvestmentMobilized Amount ($)

GEF Agency UNEP In-kind Recurrent expenditures 50,000Other UDP In-kind Recurrent expenditures 150,000Other CTCN In-kind Recurrent expenditures 910,000

Recipient Country Governments 17 national governments contributions1 In-kind Recurrent expenditures 425,000

Total Co-financing 1,535,000Describe how any “Investment Mobilized” was identified. N/A

D. GEF FINANCING RESOURCES REQUESTED BY AGENCY, COUNTRY AND PROGRAMMING OF FUNDS

GEF Agency

Trust Fund

Country/Regional/ Global Focal Area Programming

of Funds

(in $)

GEF Project Financing (a)

Agency Fee (b)

Total(c)=(a)+(b)

UNEP GEFTF Global Climate Change Global Set-aside 4,590,000 436,050 5,026,050Total GEF Resources 4,590,000 436,050 5,026,050

1 Each one of the 17 participating countries will contribute with US$ 25,000 of in-kind co-financing GEF 7 Enabling Activity Template- March 15, 2019 (revised)

2

http://gefweb.org/Documents/Council_Documents/GEF_C21/C.20.6.Rev.1.pdf

PART II: ENABLING ACTIVITY JUSTIFICATION

A. ENABLING ACTIVITY BACKGROUND AND CONTEXT (Provide brief information about projects implemented since a country became party to the convention and results achieved):

A.0) Changes in project design

(a) Two (2) additional countries have joined the project since the concept note phase: Bahamas and Lesotho

Some countries had expressed their interest in joining the project at concept note stage but did not send their endorsement letter on time. In agreement with the Global Environment Facility (GEF) Secretariat, the project has invited these countries to submit their letter of endorsement during the preparations of the EA request document. The two following countries have submitted endorsement letters:

Country Type JustificationBahamas SIDS Endorsement letter submitted on 10 October 2019. As per it’s NDC, the Bahamas

intends to achieve mitigation actions through an economy-wide (reduction) in GHG emission of 30% when compared to its Business as Usual (BAU) scenario by 2030. In this context, the development and diffusion of renewable energy resources and technologies is key. However, the Bahamas will require international support in the form of finance, investment, technology development and transfer and capacity-building in its efforts to capitalize on greater utilization of renewable sources of energy and adapt to the negative impacts of climate change that affect various sectors of the economy. The TNA will help the Government of Bahamas identifying its most impactful priority technology actions for unlocking financing and investments.

Lesotho LDC Endorsement letter submitted on 14 October 2019. Lesotho undertook the first Technology Needs Assessment (TNA) exercise in 2004. Further exercises to identify technologies needs for mitigation and adaptation have been done to a limited extend when identifying potential mitigation and adaptation measures within the framework of the preparation of national communications. Lesotho’s Second National Communication and NDC underlined many capacity and technology constraints that the country faces in addressing climate change challenges. A further and more comprehensive assessment for technology needs is required to address specific adaptation and mitigation actions. The Technology Needs Assessment Phase IV project will support the country in this regard. This project is in accordance with the Government's national priorities, including the priorities identified in the National Climate Change Policy 2017; National Energy Policy, 2015; Sustainable Energy Strategy 2017; and National Strategic Development Plan II, 2018.

(b) Budget increase related to 2 additional countries

As for the other countries that already joined the TNA Phase IV project, Bahamas and Lesotho have submitted their endorsement letters with the $295,650 GEF funds required per country to undertake the TNA process (comprised of $270,000 for the project and $25,650 agency fee).


3

The inclusion of these 2 additional countries led to an increase of: $540,000 in the total project cost from $4,050,000 in the concept note to $4,590,000, and to an increase in the

agency fee from $384,750 in the concept to $436,050. $160,000 in co-financing, $50,000 in-kind co-financing from the two additional participating countries ($25,000

each) and $110,000 increase in in-kind co-financing from the Climate Technology Centre and Network (CTCN).

A.1) Global environmental and/or adaptation problems, root causes and barriers that need to be addressed

The Paris Agreement identified technology as a key area where developing countries need support, and in particular LDCs (Least Developed Countries) and SIDS (Small Islands Developing States). In its article 10, the agreement states that “Parties share a long-term vision on the importance of fully realizing technology development and transfer in order to improve resilience to climate change and to reduce greenhouse gas emissions” (Para 1, article 10). In particular, the decision calls for a technology framework that facilitates: (a) The undertaking and updating of technology needs assessments (TNAs), as well as the enhanced implementation of their results, particularly technology action plans and project ideas, through the preparation of bankable projects; (b) The provision of enhanced financial and technical support for the implementation of the results of the technology needs assessments; (c) The assessment of technologies that are ready for transfer; (d) The enhancement of enabling environments for and the addressing of barriers to the development and transfer of socially and environmentally sound technologies; (para 68). The agreement also affirms the importance of building capacities of developing countries to “facilitate technology development, dissemination and deployment” and that “Capacity-building should be country-driven, based on and responsive to national needs, and foster country ownership of Parties […] guided by lessons learned, including those from capacity-building activities under the Convention, and should be an effective, iterative process that is participatory, cross-cutting and gender responsive” (article 11, para 1 and 2).

In December 2018, the Technology Framework was adopted by the COP (Conference of Parties). The Framework reiterates that, under its theme of Implementation, actions and activities in this area of work include “Facilitating the undertaking and updating of TNAs, as well as enhancing the implementation of their results, particularly technology action plans and project ideas, and capacity-building related to TNAs”. In addition, under its theme of Support, the Framework highlights that there should be provided “enhanced technical support to developing country Parties, in a country-driven manner, and facilitating their access to financing for innovation, including for RD&D, enabling environments and capacity-building, developing and implementing the results of TNAs, and engagement and collaboration with stakeholders, including organizational and institutional support”. Since the creation of the UNFCCC Technology Mechanism in 2010, the Technology Executive Committee (TEC) analyses TNAs and develops guidance to support countries to enhance the effectiveness and utility of the TNA process. The TEC has provided policy messages to the COP on TNAs and has also produced specific policy briefs.

This fourth phase of the global TNA project will build national capacities and support the institutionalization and implementation of the TNA process for an additional 17 developing countries, all being either Least Developed Countries (LDCs) or Small Island Developing States (SIDS). The countries included in this Enabling Activity request (the 17 which have submitted Letters of Endorsement) explicitly mention in their policy documents (Nationally Determined Contributions (NDC), National Communications (NC) or national climate strategies) the need for external support to conduct technology transfer in a consistent manner.

A.2) Baseline scenario and any associated baseline projects


4

The project responds directly to Article 4.5 of the United Nations Framework Convention on Climate Change (UNFCCC), which states, inter-alia, that the “[...] developed country Parties and other developed Parties shall take practicable steps to promote, facilitate and finance, as appropriate, the transfer of, or access to, environmentally sound technologies and know-how to other Parties, particularly developing country Parties, to enable them to implement the provisions of the Convention. In this process, the developed country Parties shall support the development and enhancement of endogenous capacities and technologies of developing country Parties. Other Parties and organizations in a position to do so may also assist in facilitating the transfer of such technologies.”

Developing country parties have been conducting TNAs since COP 7. The Global Environment Facility (GEF) initially funded 92 non-Annex I parties’ TNAs, 78 supported by the United Nations Development Programme (UNDP) and 14 by the United Nations Environment Programme (UNEP). The TNAs conducted between up until 2008 are the so-called '1st Generation TNAs'.

The GEF, in response to Decision 4/CP.13 (Development and transfer of technologies under the Subsidiary Body on Implementation), which was adopted in 2007 at COP 13 in Bali, Indonesia, created the Poznan Strategic Programme on Technology Transfer to scale up the level of investment for technology transfer and proposed a new funding window to support countries in undertaking enhanced technology needs assessments (TNAs), conducting technology pilot projects and implementing large scale climate technology projects.

In this context, in November 2009, UNEP started the implementation of the new GEF-financed Global TNA project (TNA Phase I) and introduced a new feature in the process with a view to facilitate the implementation of follow-up actions: the Technology Action Plan (TAP). The TAP is an action plan consisting of a group of measures to address identified barriers to the development and transfer of a prioritized technology. In addition, under this new and enhanced TNA approach, beneficiary countries also develop preliminary project concepts for concrete actions supporting the implementation their prioritized technologies. Countries that had done their first generation of TNA were eligible by GEF to join the new Global TNA project, hence some countries part of TNA Phase I, II, III or IV have a so-called 'first generation' TNA. Hence, TNAs conducted from 2009 and onwards, are the so-called '2nd Generation TNAs' since they now include TAPs as a main output.

As such, with GEF funding, UNEP with UNEP DTU Partnership (hereinafter referred to as UDP, the former UNEP Risø Centre) as the Executing Agency supported 36 countries to conduct their TNA process during 2009-2013 (Phase I of the ‘second generation of TNAs’ as per the Poznan Strategic Programme on Technology Transfer), an additional 27 countries between 2014 and 2018 (TNA Phase II), and, is currently supporting 23 more countries to do so since May 2018 (TNA Phase III). UDP is a leading international research and advisory institution on energy, climate and sustainable development. The detailed list of countries already supported is presented in the table below:

Region 1st GenerationTNAs (1998 - 2008)

TNA I (2009-2013) TNA II(2014-2016)

TNA III(2018-ongoing)Round 1 Round 2

Africa 1. Benin2. Botswana3. Burkina Faso4. Burundi5. Cape Verde6. Chad7. Comoros8. Congo9. Côte d'Ivoire10. Democratic Republic

of Congo

1. Cote d’Ivoire 2. Mali 3. Morocco 4. Senegal

5. Ethiopia 6. Ghana 7. Kenya 8. Mauritius 9. Rwanda 10. Sudan 11. Zambia

1. Burkina Faso 2. Burundi 3. Egypt 4. Gambia 5. Madagascar 6. Mauritania 7. Mozambique 8. Seychelles 9. Swaziland 10. Tanzania 11. Togo

1. Benin 2. Central African

Republic3. Chad4. Djibouti5. Eritrea6. Guinea7. Liberia8. Malawi9. Niger10. Sao Tome and


5

11. Egypt12. Ethiopia13. Ghana14. Guinea15. Kenya16. Lesotho17. Madagascar18. Malawi19. Mali20. Mauritania21. Mauritius22. Namibia23. Niger24. Senegal25. Seychelles26. Tanzania27. Togo28. Tunisia29. Uganda30. Zimbabwe

12. Tunisia Principe11. Uganda

Asia and the Pacific

1. Bhutan2. Cambodia3. China4. Indonesia5. Islamic Republic of

Iran6. Jordan7. Lao People

Democratic Republic8. Lebanon9. Niue10. Philippines11. Samoa12. Sri Lanka13. Thailand14. Viet Nam

1. Bangladesh 2. Cambodia 3. Indonesia 4. Thailand 5. Vietnam

6. Bhutan 7. Lao PDR (TNA only) 8. Lebanon 9. Mongolia 10. Nepal 11. Sri Lanka

1. Jordan 2. Lao PDR (TAP only) 3. Malaysia 4. Philippines

1. Fiji2. Islamic Republic of Afghanistan3. Myanmar4. Nauru5. Vanuatu

Europe and CIS

1. Albania2. Armenia3. Azerbaijan4. Croatia5. Georgia6. Malta7. Republic of Moldova8. Tajikistan9. Turkmenistan10. North Macedonia11. Uzbekistan

1. Georgia 2. Azerbaijan 3. Kazakhstan (TNA only) 4. Moldova

1. Armenia 2. Kazakhstan (TAP only) 3. Turkmenistan 4. Uzbekistan

1. Ukraine

Latin America and Caribbean

1. Antigua and Barbuda2. Bolivia3. Chile4. Colombia5. Dominica6. Dominican Republic7. Ecuador8. El Salvador9. Guyana10. Haiti11. Jamaica

1. Argentina 2. Costa Rica 3. Guatemala 4. Peru

5. Cuba 6. Colombia 7. Dominican Republic 8. Ecuador 9. El Salvador 10. Bolivia

1. Belize 2. Bolivia 3. Grenada 4. Guyana 5. Honduras 6. Panama 7. Uruguay

1. Antigua and Barbuda2. Dominica3. Jamaica4. Suriname5. Trinidad and Tobago


6

12. Paraguay13. Peru14. St Kitts and Nevis15. St. Lucia

Although technologies have been identified as a key factor of success to reach climate change related targets, the information contained in NDCs and existing documents are not sufficient to plan and implement technology projects that will enable the countries to reach their targets. The TNA – as a national participatory process providing in-depth analysis of technology options and actions – offers key information for decision-makers and planners to implement nationally prioritized climate technology actions. As the continuation of the three previous phases of TNAs, this project benefits from lessons learnt and best practices from previous experience. The main lessons learned are the following:

Even though the TNA project seeks to address a highly complex set of issues (climate change) with limited resources, TNA Phase II and III are showing that the TNA/TAP process is receiving stronger attention from decision makers in governments since (i) countries had to come up with their NDCs, and (ii) the CTCN and the Green Climate Fund (GCF) became operational. The TNA is seen as a good tool (i) to identify the technologies a country needs to implement its NDC, (ii) to generate technical assistance requests for CTCN and (iii) to create a pipeline of projects for GCF and other funding sources. It is to be noted however that a number of countries – especially LDCs - are not sufficiently equipped to prepare funding requests after the TNA/TAP process has been completed, and many of them need improved data and analysis to confirm the feasibility and bankability of the prioritized climate technology actions included in their TAPs.

In many countries, national capacity is rather low. Capacity building and training is critical to ensure the process results in quality outputs for the countries. This is even more important since the TNA Phase III project, where participating countries are essentially LDCs and SIDSs (as for the TNA Phase IV). For this reason, additional trainings are planned and offered to countries now (i.e. since TNA Phase III) with one additional regional training and a training at national level on the tools used for the TNA/TAP process. In addition, participating countries strongly value peer-to-peer exchange which is now further enhanced since TNA Phase III project, with the inclusion of an additional regional training workshop bringing the countries together.

The engagement of the financial/funding community, private sector and the banking and investments sectors remains a challenge despite the efforts made by the TNA countries to bring these stakeholders on board. For private sector and investors, the challenge is that engagement depends on their business interests and therefore they can be best engaged once the priority technologies have been identified. They can then provide valuable inputs, notably for the barrier analysis and development of the TAP. Donors and development partners participate in the TNA/TAP process but there is a need for more emphasis by TNA country governments on disseminating and “selling” their climate technology priorities to their in-country funding community at the end of the TNA/TAP process. More emphasis is given to dissemination of the TNA results under the TNA Phase III project with countries developing a targeted dissemination/communication plan.

The evaluations of previous TNA phases (terminal evaluation of TNA Phase II is currently on its way, and expected to be completed by February 2020) and the TNA guidance and analysis conducted by the UNFCCC Technology Executive Committee (TEC) provide sound information for further enhancement of the TNA process and related guidance. This includes the paper on 'Experiences, lessons learned and good practices in conducting TNAs and implementing their results' presented at the nineteenth meeting of the TEC, September 2019. In this context and as for TNA Phase III, this fourth phase will continue (i) reviewing and strengthening tools and methodologies, (ii) reinforcing national capacities and quality of TNA/ Technology Action Plans (TAP) outputs and (iii) strengthening the relationships with donors and investors at national level with a view to increase the uptake of these products.


7

Under TNA Phase IV, the planned activities will further enhance the main improvements initiated for TNA Phase III: National trainings for a wider team of stakeholders in the country (i.e. National TNA committee) in order to

strengthen capacities and engagement of a wider array of stakeholders from various concerned sectors (such as Finance, Economic Affairs, Energy, Health, Agriculture and Transport). This will strengthen commitment of the national TNA stakeholders in supporting and informing the TNA process and therefore contribute to increase the quality of TNA and TAP products. It will also enable countries to develop TAP outputs in smaller groups with sectoral experts, collaborating with national consultants. In addition, this will contribute to raise the interest of high-level policy makers in the TNA and will facilitate the integration of the TNA/TAP results into national planning processes. This activity is proposed as part of Output 2.

Peer-to-peer exchange and learning through inter-country workshops, conducted in country with successful previous TNA experience to facilitate best practices and knowledge sharing between countries, also including cooperation with ‘champions’ from previous phases of TNA. This activity is proposed as part of Output 2.

Targeted dissemination of TNA results through targeted dissemination plans and briefs as well as national events and roundtables to present TNA/TAP products to potential donors (including funding mechanisms), development partners and investors. This will facilitate the creation of partnerships between the government and these actors for the financing and implementation of technology actions prioritized by the countries. More specifically, based on donors and investors interest from the TAP, a number of project ideas will be identified to be developed more in-depth, and to be translated into sound project concepts to be proposed to targeted donors/investors. This activity is proposed as part of Output 2.

Finally, it is noteworthy to mention that among these 17 countries, some have undergone a so-called “1st generation” Technology Needs Assessment (prepared before 2008). At that time no barrier analyses, identification of enabling frameworks for technology transfer nor Technology Action Plans (TAP) had been performed – activities that will now be completed as part of the TNA Phase IV project. The results of these “1st generation” TNAs led to inform national sector strategies, rather than to the implementation of actual technology inclusive projects.

A.3) Consistency with National Priorities

Efforts on technologies have been identified by most developing countries as one of the main conditions for the implementation of their respective NDCs. Of the 113 non-Annex I Parties that submitted NDCs (representing almost 75% of all non-Annex I Parties) 94% mention technology. Overall, SIDS and LDCs raised technology issues more frequently than other non-Annex I Parties. Nearly half of the LDCs have listed the identification of technology needs as an area of efforts. The preparation of the NDCs has in many countries incentivized exploration of linkages between development and climate, as well as development of new national climate polices, and can be seen as an important step in a transition towards low carbon economies and resilient countries.

The project proposes to build on NDCs developed by participating countries, to support their implementation and updating, as well as supporting other ongoing planning processes, under or outside the framework of the UNFCCC. Therefore, the work will be embedded and tailored to country priorities.

Many countries are taking steps to follow a low-carbon and climate-resilient development path as reflected in their respective National Communications to the UNFCCC, National Climate Change Strategies and related action plans (Low Emission Development Strategies (LEDS), Low Carbon Development Plans, NAMAs, NAPAs), National Energy Plans and Strategies, National Investment Plans (NIPs), Medium-Term Expenditure Frameworks (MTEFs), Poverty Reduction Strategy Papers (PRSPs) or National Development Plans (NDPs) etc. At the national level, many countries have


8

highlighted their need for assistance in determining both technology priorities and the measures needed to overcome barriers that prevent them from acquiring these technologies under market or near-to-market conditions.

The table below provides information on the alignment of the TNA Phase IV project with the participating countries’ national priorities:

Country Evidence of country commitments or country needs in the TNA process

Bahamas

As per it’s NDC, the Bahamas intends to achieve mitigation actions through an economy-wide (reduction) in GHG emission of 30% when compared to its Business as Usual (BAU) scenario by 2030. In this context, the development and diffusion of renewable energy resources and technologies is key. However, the Bahamas will require international support in the form of finance, investment, technology development and transfer and capacity-building in its efforts to capitalize on greater utilization of renewable sources of energy and adapt to the negative impacts of climate change that affect various sectors of the economy. The TNA will help the Government of Bahamas identifying its most impactful priority technology actions for unlocking financing and investments.

Comoros Union

As a SIDS and Party to the UNFCCC since 1994, the Union of the Comoros has shown its commitment to combating climate change. Several initiatives have been undertaken to reduce the effects of climate change at the national level.Since 2011, the country has developed a Strategic Framework for Climate Change Programming and a National Climate Change Policy since 2015. The country has defined its NDC in relation to the commitments of the Paris Agreement. These main activities are aimed at increasing the resilience of the vulnerable population to the effects of climate change while improving their incomes and accessing clean technologies for their needs.In addition, as the Comoros Union has put its focus on green growth for development by adopting the Accelerated Growth Strategy for Sustainable Development (SCADD), technology transfer remains a priority for the government and is incorporated into this flagship document at Axis I "Acceleration, diversification and sustainability of growth".This TNA Phase IV project will enable the country to identify the priority technologies that will be required to achieve the above-mentioned objectives.

Ethiopia

Through its NDC, Ethiopia is working to reduce 64% of its emission by 2030 from the BAU from Agricultural, Forest, Industry and Transport sectors. Ethiopia has also developed its NAP. Technology transfer is at the epicenter of these strategies. As such there is a dire need:- To identify/update the most vulnerable sectors and subsectors require technological provision.- To update identify, analyze, evaluate, and prioritize technological needs for the prioritized sectors - To build technology utilization capacity at community level in relation to the relevant adaptation options.More importantly a national roadmap for the implementation of the Climate Resilient Green Economy Strategy (CRGE) and NAP are currently being developed, so this TNA project is very timely for the country.

Guinea-Bissau

Guinea-Bissau’s Nationally Determined Contributions (NDC) has identified the Agrarian sector (agriculture, livestock and forestry), the Coastal Zone sector, and the Water sector as priority sectors for climate change adaptation. Furthermore, it has recognized that the Agrarian sector (agriculture and forestry) and Energy sector are priority for climate change mitigation. For both climate change adaptation and mitigation, the country’s NDC recognizes the need for clean technologies and capacity building. Therefore, a TNA is a pre-requisite for Guinea-Bissau to determine how to reduce GHG emissions and adapt to the adverse effects of climate change

Kiribati

As an LDC and SIDS, Kiribati has developed key strategies and plans, which seek to promote emission reduction initiatives, the transition towards renewable energy and more importantly addressing adaptation needs throughout the country, which in turn will strengthen the island’s resilience and adaptive capacity in addressing climate change impacts. The TNA phase IV project will enable the Government through its technical agencies to understand capacity gaps and technology needs as a whole and inform key partnerships and development assistance to address these gaps. This will complement and inform the following key plans and strategies of Kiribati: NDC, Joint Implementation Plan for Climate Change and Disaster Risk Reduction, Integrated Energy Roadmap, and Integrated Environment Policy.

Lesotho Lesotho undertook the first Technology Needs Assessment (TNA) exercise in 2004. Further exercises to identify technologies needs for mitigation and adaptation have been done to a limited extend when


9


identifying potential mitigation and adaptation measures within the framework of the preparation of national communications. Lesotho’s Second National Communication and NDC underlined many capacity and technology constraints that the country faces in addressing climate change challenges. A further and more comprehensive assessment for technology needs is required to address specific adaptation and mitigation actions. The Technology Needs Assessment Phase IV project will support the country in this regard. This project is in accordance with the Government's national priorities, including the priorities identified in the National Climate Change Policy 2017; National Energy Policy, 2015; Sustainable Energy Strategy 2017; and National Strategic Development Plan II, 2018.

Maldives

Maldives NDC states that the unconditional 10% reduction target could be increased up to 24% in a conditional manner, in the context of sustainable development, supported and enabled by availability of financial resources, technology transfer and capacity building. Hence, technology transfer is key for the implementation of the country’s NDC. Currently there are no TNAs prepared for the Maldives. TAP for the main NDC sectors, namely Energy, Transport and Waste sectors will be essential to contribute to the NDC implementation roadmap. Hence, TNA Phase IV project will be fundamental for the successful implementation of NDC in the Maldives. The Maldives Climate Change Policy (MCPF) recognizes technology transfer as a building block which is essential for the execution of the climate change policy in the Maldives. The government of Maldives is currently seeking international cooperation, knowledge sharing and support to implement MCPF. The TNA project will be one such endeavor which would assist Maldives towards achieving the aforementioned policy goals of MCPF.

Niue

The Technology Needs Assessment Phase IV project is in accordance with the Government's national priorities, including the priorities identified in the National Adaptation Plan of Action as well as the Intended Nationally Determined Contributions (INDC) of Niue. The country’s key guiding document for building resilience to climate change are the National Climate Change Policy (2009). The vision of which is for a “Safer, More Resilient Niue to Impacts of Climate Change and Towards Achieving Sustainable Livelihood”. In addition, the Policy Goal is “To promote understanding of and formulate appropriate responses to the causes and effects of climate change in support of national sustainable development objectives”. Among the main objectives of the country’s Policy Goal are the two following: (1) develop effective adaptation responses and enhance adaptive capacity in order to protect livelihoods, natural resources and assets, and vulnerable areas to the impacts of climate change to all sectors; and (2) mitigate the causes of climate change and implement effective mitigation measures to reduce greenhouse gas emissions – which are aligned with the TNA phase IV project objectives.

Papua New Guinea

The TNA process as an ideal opportunity for Papua New Guinea to identify and prioritise climate change mitigation and adaptation technologies for all its selected sectors that were defined in the country’s NDC. Thus, the TNA project will enable Papua New Guinea to identify and determine its technology priorities for mitigating GHG and adapting to the adverse effects of climate change by means of cross sector wide approach. Hence, Papua New Guinea’s commitment to addressing and responding to climate change, through cross sector national action, directly supports and will be central to achieving the goals of responsible green growth.The TNA process will support Papua New Guinea's existing mechanisms to address climate change such as the Climate Change Management Act (CCMA) (2015) and the country's NDCs to UNFCCC. All of these will contribute to the country's overall social, environmental and economic development objectives and the national climate change reduction targets as set out in Papua New Guinea Vision 2050.

Saint Kitts and Nevis

St. Kitts and Nevis submitted its Initial NCs in 2001. However, the document did not address issues related to technology needs with regards to mitigation of GHG emission or adapting to climate change. As a result of this gap, a TNA as part of Phase II of the Enabling Activities was conducted in 2006. A TAP was never prepared. The climate is changing rapidly, so there is a need to ensure that St. Kitts and Nevis develops and utilizes the most appropriate decision-support tools and methodologies, and to engage in an updated assessment of the technology needs and requirements. It is essential that the country elaborates on the technology framework to further promote and facilitate enhanced action on technology, development and transfer. This would assist the country in achieving its NDC targets as well as implementing the Paris Agreement.

St. Kitts and Nevis prepared a National Climate Change Policy in 2017, which provides an overarching guide on how climate change will be addressed to achieve a low carbon and climate resilient economy. The


10


Policy highlights the need to conserve and build the resilience of our human and natural systems by adapting to the adverse impacts of climate change, through capacity building, the application of cleaner and energy efficient technologies, and relevant research and development. The outcomes of the TNA and TAP would articulate the required technology as well as formulate the appropriate actions. It can also help to create a pipeline of programmes and projects with the plan to target various financial sources for implementation. This TNA Phase IV project is therefore an opportunity for St. Kitts and Nevis to update its TNA as well as create a TAP.

Solomon Islands

The TNA project is in accordance with Solomon Island’s national priorities, including the priorities identified in the country’s NAPA and the NCSA. The effective implementation of the adaptation and mitigation measures in Solomon Islands’ Intended Nationally Determined Contributions (INDC) is conditional upon the accessibility, availability and timely provision of financial resources, technology and capacity building support. The TNA will enable Solomon Islands to identify the priority technologies as well as the barriers to be removed to enable the proper deployment of the prioritized technologies.

Somalia

This TNA phase IV project is in accordance with Somalia’s national priorities such as: (1) sustainable land management and food security through enhanced productivity; (2) integrated water management; (3) reducing risk among of vulnerable populations from natural disasters; (4) the utilization of renewable energy resources such as solar, hydroelectric and wind; (5) the introduction and advocating the use of more efficient kilns for charcoal making and efficient stoves for local use, in order to reduce trees filling for local use; and (6) reforestation using regional nurseries and forest plantation using indigenous and introduced suitable tree species. This Technology Needs Assessment project could will support Somalia’s commitment to the relevant global environmental conventions. The project proposal was discussed with relevant stakeholders, including the global environmental convention focal points.

South Sudan

South Sudan’s Nationally Determined Contribution (NDC) clearly emphasizes that the achievement of its objectives depends on access to adequate, predictable and sustainable financial resources, including technology transfer and capacity-building. The TNA project will help South Sudan in identifying the priority technologies and how to create the necessary conditions for transferring and installing these in the country.

Timor-Leste

Timor-Leste has been affected by the impacts of climate change in many critical sectors such as agriculture and food security, water, infrastructure, health etc. To address some of these impacts, the country has formulated its National Adaptation Program of Actions (NAPA) in 2011. In addition, the Intended Nationally Determined Contribution (INDC) of Timor-Leste was also submitted a few years back to the UNFCCC Secretariat. Within these two documents, some technology options for both adaptation and mitigation have been highlighted. However, a further assessment for technology needs is required to address specific adaptation and mitigation actions. In this regard, this Technology Needs Assessment project will allow Timor-Leste to increase resilience of people and ecosystems across the country.

Tonga

The project proposal (a) is in accordance with Tonga’s national priorities to support the Energy Sector (including, Climate Proofing and Resilient Development, Secure and affordable Energy Technology and timely and accurate informed Society) and the country’s commitment to the relevant global environmental conventions; and (b) was discussed with relevant stakeholders, including the global environmental convention focal points. Tonga has shown commitments on NDC, Tonga Energy Road Map, Renewable Energy targets and Energy Efficiency targets. The TNA will allow Tonga to assess technologies that are needed to meet its energy targets.

Tuvalu

The project proposal (a) is in accordance with Tuvalu’s national priorities, including those identified in the National Adaptation Plan of Action and the country’s commitment to the relevant global environmental conventions; and (b) was discussed with relevant stakeholders, including the global environmental convention focal points. The country’s goal to pursue a zero-carbon development pathway by 2050 (as part of Tuvalu’s Intended Nationally Determined Contribution) needs technological innovations and depends on the availability of finance and technologies. The TNA project will allow Tuvalu to identify priority technologies as well as what is required to deploy them.

Yemen

From the perspective of Yemen as an LDC, the TNA process is quite important to enable the country to deal with climate change adaptation as well as mitigation related issues. The project proposal is in accordance with the government's national priorities including those identified in the National Adaptation Programme of Action (NAPA), Nationally Determined Contributions (NDC), 1st, 2nd, and 3rd National Communications (NC), and the country’s commitment to the relevant global environmental conventions. The TNA Phase IV project was also discussed with relevant stakeholders in Yemen, including the global environmental conventions focal points.


11

B. ENABLING ACTIVITY GOALS, OBJECTIVES, AND ACTIVITIES (The proposal should briefly justify and describe the project framework. Identify also key stakeholders involved in the project including the private sector, civil society organizations, indigenous peoples and local communities, and their respective roles, as applicable. Describe also how the gender equality and women’s empowerment are considered in project design and implementation):

B.1) Proposed alternative scenario and project framework with a description of project components, outcomes, outputs and deliverables

Like the three previous TNA phases, this project will provide targeted financial and technical support to assist participating developing countries to (i) carry out improved Technology Needs Assessments (TNAs) within the framework of Article 4.5 of the UNFCCC, and (ii) develop national Technology Action Plans (TAPs) for prioritized technologies that reduce greenhouse gas emissions, support adaptation to climate change, and are consistent with national sustainable development objectives.

Lessons learnt and planned improvements for TNA Phase IVThe project builds on best practices and lessons learnt from previous phases, and takes into consideration the findings and recommendations from the TNA Phase I evaluation that was completed in October 2016. The project will also seek to integrate the recommendations from the TNA Phase II evaluation which has been initiated and is expected to be completed in February 2019.

a)Mainstreaming TNA findings and results This fourth phase of the TNA project will be further embedded into national planning processes. TNA/TAP outputs will support countries for the updating and implementation of NDCs, and support the formulation of planning and reporting documents, and possibly other national planning processes under the UNFCCC such as the National Adaptation Plans (NAPs).

b)Engaging development partners, donors and investorsExperiences from the previous TNA Phase I, II and III confirm that countries are motivated to take ownership and participate in the project activities when stakeholders see a strong possibility for the TNA/TAP process to enhance prospects for attracting investments from public and private sources. Therefore, the engagement of the development assistance partners and finance community at country level is critical to increase opportunities for support of TNA follow-up actions (i.e. TAP implementation). The project will seek out and strengthen (or where necessary, help create new) implementation-focused networks and partnerships involving financial institutions such as regional development banks and donor organizations, as well as national, regional, sectoral and international technology centres during the preparation and finalization of the TNA and TAP reports. The project will also encourage the engagement of these actors at an early stage and throughout the whole process. As part of these efforts, key results and findings of the TNA process will also be summarized into targeted briefing notes/policy briefs to close the process and make the TNA findings accessible and user-friendly.

c)Training a wider group of national stakeholdersNational trainings for a wider group of stakeholders would strengthen stakeholder engagement and thereby the quality of the different outputs resulting from the TNA process. A new capacity building package for national TNA teams will be developed and two national training workshops will be delivered for all stakeholders working directly on TNA. In order to use the available resources efficiently, these efforts will be conducted as part of technical support missions (which were also offered during Phase I, II and III).


12

d)Promoting peer-to-peer learning and exchangePeer-to-peer exchange and south-south cooperation is seen as very beneficial by the participating countries, as it leads to improved knowledge sharing on TNAs and TAP implementation. The project will facilitate showcasing of best practices from countries that have conducted a TNA; create global TNA stakeholder networks through electronic means (such as webinars).

e)Strengthening national capacities for project preparation and proposal writingDuring TNA Phase III new and updated guidance for countries on preparation of bankable projects and proposal writing was developed - as an extension of other existing TNA guidance on accessing international funding for technology projects. The new guidance and newly developed training modules and e-learning under TNA Phase III will be provided to help TNA Phase IV countries in writing project concept notes and proposals, and in identifying which development partner, investment partner, donor or funding mechanism to target for their prioritized technology actions. Tools were also further developed under TNA Phase III to facilitate the identification, engagement and connection with potential funders and investors especially those present and engaged at national level, and transform project ideas into ready-to submit project concepts to specific donors and investors. This will be utilized under TNA Phase IV to strengthen national dissemination of the information generated through the TNA/TAP process and to engage with funders and donors for the implementation of TNA and TAP priorities.

f)Ensuring strong stakeholder engagementProper stakeholder identification and engagement has also proved to be critical for conducting a successful TNA/TAP process since quality and success of the TNA/TAP process strongly depends on political will and stakeholder engagement. Attention is therefore needed to ensure a rigorous stakeholder mapping and a more targeted selection of the stakeholders to engage in the process. The inception missions to the participating countries will aim to identify potential “TNA champions” - notably to form the National TNA Committee2 that provides leadership to the project in association with the National TNA coordinator - among the decision makers and stakeholders that must be involved in the TNA/TAP process. In addition to existing guidance on stakeholder involvement, TNA Phase IV will include a new guidance on gender considerations, both in terms considerations during selection, prioritization and assessment of technologies, but also during elaboration of action plans for the transfer and dissemination of technologies in local and national contexts.

g)Data and local expertiseFinally, local capacities and data availability strongly influences the quality and success of the TNA/TAP process and its outputs. While the project is not in a position to improve local data and information availability, there is a need to ensure more scrutiny in selecting the national TNA coordinator and local consultants, and to further improve or adapt tools, training and capacity building activities. The TNA project inception mission will aim to identify qualified national experts/consultants that would lead the different steps of the TNA/TAP process under the supervision of the national TNA coordinator.

In view of the above, the TNA Phase IV project will continue to offer countries the following new features that were introduced under TNA Phase III:

Two national training workshops per country to train a wider group of national stakeholders on the overall process and different steps for conducting the TNA, and on the participatory planning and prioritization tools (e.g. multi criteria assessment tool, stakeholder engagement tools, and approaches for gender inclusiveness). This will strengthen the engagement and commitment of stakeholders to support and inform the national TNA process and

2 The National TNA Committee is the core group of decision makers and includes representatives responsible for implementing policies from concerned ministries, members familiar with national development objectives, sector policies, climate change science, potential climate change impacts for the country, and adaptation needs. Refer to Annex K for further description of the role and responsibilities of the National TNA Committee.


13

therefore contribute to increased quality and ownership of TNA/TAP outputs. More emphasis on peer-to-peer exchange in regional workshops to facilitate best practices and knowledge sharing between countries, including from TNA Phase I, II and III through the participation of national experts from the previous phases.

National events and roundtables, as well as targeted policy briefs and advocacy papers, to present TNA/TAP outputs to potential donors, development partners and investors. This will facilitate the creation of partnerships between the government and these actors for the financing and implementation of prioritized technology actions. More specifically, the roundtable discussions will permit to identify a number of project ideas of common interest to be developed more in-depth (e.g. into project concepts for interested donors or development partners, into PIFs to submit to GEF or GCF concept notes).

Technical assistance for participating countriesThe project will provide funding and technical assistance to countries to conduct their TNA/TAP process. The technical assistance will be provided from project start and will include guiding participating countries to: (i) set up their national TNA team and select appropriate local consultants to prepare the various reports, (ii) develop a country tailored workplan and framework for conducting the TNA/TAP process, (iii) identify and engage all relevant stakeholders, as well as (iv) advocate and disseminate TNA/TAP results (including intermediary results along the process) to decision makers, donors, as well as national and international financial and business communities.

The technical assistance, capacity building and guidance will be provided by UNEP/UDP and the following partners referred to as Regional Centres (RCs): the University of South Pacific (USP) in the Pacific region; Environment and Development Action in the Third World (ENDA) and University of Cape Town (UCP) in Africa; and University of West Indies (UWI) for the Caribbean (see table below).

The collaboration with Regional Centres of excellence has been crucial for the success of TNA Phase I and II. Experience and feedback from participating countries tell us that it is crucial that regional centres have local expertise, hence it was for TNA III decided to collaborate with new regional centres for the Pacific and the Caribbean regions, where in both cases the new regional centres have experience with SIDS and local conditions of the respective countries. For the African countries participating in the project, the collaboration with ENDA for the Francophone group of countries, and UCT for the Anglophone countries will be continued. The table below shows the climate change expertise area and region for each RC collaborating with UDP for the execution of the project.

AREA OF EXPERTISE REGIONREGIONAL CENTRE Mitigation Adaptation Africa Asia and Pacific LACUniversity of South Pacific, Fiji X X XEnda, Senegal X X XUniversity of Cape Town, South Africa X X XUniversity of West Indies, Jamaica X X X

Regional Centres supporting TNA Phase IV countries

Besides collaboration with regional centres, the project will contract experts from TNA Phase I, II and III, who have shown excellent leadership as technology champions in their respective countries. These experts will support countries as part of TNA Phase IV through experience sharing and knowledge transfer based on their experiences with taking the TNAs/TAPs forward to implementation. One expert from each region will be contracted.

Project strategy GEF 7 Enabling Activity Template- March 15, 2019 (revised)

14

The Project Objective is to provide participating countries targeted financial and technical support to prepare new or updated and improved TNAs, including TAPs, for prioritized technologies that reduce greenhouse gas emissions, support adaptation to climate change, and are consistent with Nationally Determined Contributions and national sustainable development objectives.

The Project Outcome (Outcome 1) will be “Technology Needs Assessment (TNA) processes conducted by national stakeholders in the 17 participating countries, and TNA/TAP results available to be integrated into national planning processes and to be funded and implemented by interested stakeholders”. Participating countries will also gain improved in-country capacity on the methodologies and process of conducting a TNA, including stakeholder engagement, multi-criteria analysis, barrier analysis, and preparation of project concepts.

To achieve its overall objective and main outcome, the project is designed around one single component (Component 1: Technology Needs Assessments and development of Technology Action Plans) that will deliver two main outputs:

Output 1: Tools, methodologies and capacity building packages are further enhanced and applied to support the implementation of the TNA/TAP process

Output 2: TNA and TAP reports completed, including project ideas, with national consensus on concrete actions for implementation

The outputs of the project will be generated via a transparent participatory approach, with strong stakeholder engagement, which will enable national consensus on priority technologies and actions. The TNA in this project aims to support participating countries to implement their commitments under the Paris Agreement and the revision of their NDC. The TNA/TAP will also help countries in developing their project pipelines for the different financial instruments under the climate change convention (i.e. Green Climate Fund, Global Environment Facility, Adaptation Fund) as well as other potential funds and donors. Provided the political environment in supported countries is conducive to climate action, the project outputs will lead to policy changes and finance flows into priority technology areas. With successful and adequate support mechanisms in place, the project can expect to contribute to accelerating the deployment of technologies that reduce greenhouse gas emissions and/or improve resilience to climate change in the target countries.

Output 1: Tools, methodologies and capacity building packages are further developed and applied to support the implementation of the TNA/TAP process

Output 1 will strengthen stakeholder involvement and capabilities (skills, knowledge, and tools) of key national actors/players in developing TNAs, TAPs and project concept notes. This will lead to the delivery of quality TNAs with a robust nationally driven technology prioritization process for both mitigation and adaptation, improved Barrier Analysis and Enabling Framework reports, TAPs to support accelerated implementation of technologies, and better articulated project ideas. Good communication and awareness raising of TNA/TAP results all along the process will increase interest among national and international institutions, including among private sector and other non-state actors for taking up TNA/TAP results for implementation.

The main purpose of Output 1 is to provide participating countries with (i) methodologies, guidance and tools for conducting technology needs assessments and developing technology action plans covering both adaptation and mitigation aspects, (ii) strengthened national capacities for conducting the TNA/TAP process, and (iii) support to facilitate sharing information and results generated through TNA/TAP processes and secure buy-in for TNAs from senior officials and potential donors/financiers.


15

The activities to be developed under Output 1 will aim to improve existing methodologies, develop new guidance, build national capacities through national, regional and global level training workshops, and lastly to mobilize governments, development organizations, public and private financiers, and private sector actors for TAP implementation.

Output 1 will be structured around three sub-outputs, corresponding to the three previously-mentioned areas specified under the output’s main purpose:

Sub-Output 1.1: Methodologies, guidance and tools for technology needs assessments and action plans covering both adaptation and mitigation aspects are updated/developed.

Activity 1.1.1 Improvements to existing methodologies, guidance and tools

Step-by-step guide for countries conducting a Technology Needs Assessment: the guidance will be updated to reflect latest changes in methodology development, including on Indigenous peoples, integrating transformational change aspects of technologies, and guidance on technology in cities. Also, additional guidance on dissemination of TNA results at the national level will be developed. In addition to the updates specified above, there will be a general update of the various existing TNA guidance documents where needed.

Activity 1.1.2: Development of new methodologies, guidance and tools

Guidance on transformational aspects of technology transfer: In the new Technology Framework3, as agreed by Parties during COP24, it is envisaged that there is a potential for 'Reviewing the TNA guidelines and updating them as necessary with a view to TNAs leading to plans and implementation that are aligned with the transformational changes envisioned in the Paris Agreement'. Hence this new guidance will provide recommendations to countries on how to integrate such aspects when preparing their TNAs and TAPs;

Guidance on aspects of indigenous people and technology: Climate change poses threats and dangers to the survival of indigenous communities worldwide, even though indigenous peoples contribute the least to greenhouse emissions. Indigenous peoples are vital to, and active in, the many ecosystems that inhabit their lands and territories and may therefore help enhance the resilience of these ecosystems. In addition, indigenous peoples interpret and react to the impacts of climate change in creative ways, drawing on traditional knowledge and other technologies to find solutions which may help society at large to cope with impending changes. With this new guidance, it is envisioned to create more visibility on such aspects, and to familiarize TNA stakeholders with these, so they can be taken into account as appropriate during the TNA and TAP preparation stages.

Guidance on technology in the context of cities: Cities represent enormous potential as the world’s economies and wealth generation are anchored to cities. Many countries and cities are taking advantage of urbanization, building on this economic growth. Sustainable development can only be built upon sustainable cities. So far, there has been limited attention to cities in countries with regards to TNA and TAP priorities, however, this new guidance will inform the TNA stakeholders about how to include cities as potential priority areas in their work under the project.

E-learning on aspects of transformational change aspects of technology transfer, indigenous people and technology, as well as on aspects of technology and cities: UDP will develop e-learning training material based on the new guidance as specified above.

3 https://unfccc.int/sites/default/files/resource/cma2018_3_add2_new_advance.pdf#page=4 GEF 7 Enabling Activity Template- March 15, 2019 (revised)

16

https://unfccc.int/sites/default/files/resource/cma2018_3_add2_new_advance.pdf#page=4

Sub-Output 1.2: Strengthened national capacities for conducting the TNA/TAP process

Activity 1.2.1: Training of trainers workshop

Before any in-country activities, a training-of-trainers workshop will be held to ensure a unified understanding of processes, methodologies and approaches. This workshop is intended for UDP country coordinators & Regional Centre staff, who will subsequently be involved and responsible for delivering national and regional training workshops.

Activity 1.2.2: National workshops

Two (2) national training workshops per country will be conducted to facilitate a broader national capacity building on the TNA and TAP process and its participatory tools and related issues, including technology transfer and diffusion process. The national workshops will focus on the concept of technologies and their relevance for local contexts, multi criteria analysis methodology, stakeholder engagement approaches, gender inclusiveness and so forth. This is intended to build in-country capacities on technology transfer related issues, increase national ownership of the process as well as to encourage national stakeholders to integrate information and results generated through the TNA/TAP process into other national processes.

Activity 1.2.3: Regional workshops

The TNA Phase IV will provide three (3) regional training workshops per region (separate for Francophone and Anglophone Africa), a total of 12 capacity building workshops. Peer to peer experience sharing will also be facilitated during the regional workshops, where TNA Phase either I, II or III champions will be invited to share their experiences from conducting and implementing their TNAs. The experience from TNA I, II and III showed a need to increase the number of regional training workshops from two (2) to three (3) per region. Having three regional training workshops will allow more time for training on issues such as economic assessments, preparation of TAPs as well as more capacity building for the development of sound project concepts, which can be linked to other processes, including implementation plans for how to reach national NDC targets.

The 4 regions for the capacity building workshops are as follows:

The Caribbean: Saint Kitts & Nevis and the Bahamas The Pacific: Kiribati, Maldives, Niue, Papua New Guinea, Solomon Islands, Tuvalu, Tonga and Timor-Leste Africa (Anglophone + Yemen): Lesotho, Somalia, South Sudan, Ethiopia and Yemen Africa (Francophone): Comoros Union and Guinea-Bissau

Sub-Output 1.3: Information, lessons learnt and results generated through TNA/TAP processes are disseminated and communicated

Activity 1.3.1: Advocacy and networking actions to secure buy-in for TNA from senior officials and donors/financiers

At national level, activities will aim at reaching-out/communicating, advocating and networking to attract high-level governmental support and engage with donor coordination groups (including local representatives from the Multilateral Development Banks), local banks/financiers, Chambers of Commerce and private sector (such as business associations) all along the TNA/TAP process.

At the inception stages, initial consultations will be undertaken with government and donor coordination groups to do some intelligence gathering, find a good entry point to anchor the TNA/TAP process and facilitate the engagement of donors and decision makers, i.e. for TNA/TAP results to feed-in a national planning process such


17

as the NDC process, and identify opportunities to reach-out to public and private decision makers in the country (this was a successful approach that the national TNA coordinator from Lebanon has used in TNA Phase I to engage the decision makers in her country).

Building on the outcomes of these consultations, UNEP/UDP will work with the national TNA teams to develop national project workplans that include a series of activities (with milestones) to foster interactions between practitioners in the fields of investment/finance, technology and policy, and to provide regular updates, briefings and disseminate results to key decision makers, the donor/development partner community, and financial and business communities in the country.

The outputs will include a series of targeted, tailored and country specific briefings and advocacy documents, as well as letters of intent from donors/financiers to support project ideas prioritized in the TAPs.

Activity 1.3.2: Regional and global level dissemination actions

At regional and global levels, activities will aim at disseminating tools, results and best practices; stimulating peer-learning and use of TNA results and promoting priority project ideas and technology actions identified by participating countries to donors, development banks and public and private investors.

At the regional level, the TNA Phase IV project will link with existing technology transfer networking initiatives to disseminate results and promote priority project ideas and technology actions from countries to regional and global stakeholders such as GCF and Adaptation Fund (AF) accredited entities, the CTCN, the GCF, the GEF, the COP, as well as business networks.

At global level, while ‘traditional’ dissemination events such as COP side events, workshops, and conferences will be important tools for diffusion and learning, the project will also utilize information and communication technologies to reach out to the global community. During TNA Phase I a website for the TNA project (www.tech-action.org) was created. The website provides all important project information, such as country reports, technology prioritization factsheets as well as methodologies and tools for the TNA process. This website was uploaded in a new version during TNA Phase III, and will continue to be regularly updated to facilitate improved access to TNA/TAP results for development partners as well as public and private investors. In addition, newsletters will be prepared and disseminated regularly to TNA participants, partner institutions and networks.

Output 2: TNAs and TAP reports completed, including project ideas, with national consensus on concrete actions for implementation.

Output 2 will enable the 17 participating countries to reach (i) a national consensus on technologies for low carbon and climate resilient development in priority sectors, and (ii) a nationally endorsed agreement on actions to be implemented to respond to prioritized technology needs for low carbon and climate resilient development. Participating countries will conduct an in-depth analysis of the actual barriers, including economic and social, that hinder the transfer and uptake of priority technologies, followed by an assessment of the political, institutional and financial options to overcome these barriers. On this basis comprehensive national plans to create enabling framework conditions agreed by key stakeholders in the countries will be prepared in consistency with the domestic, regional, and global contexts.

The main purpose of Output 2 is to provide technical assistance and funding for participating countries to assess their technology needs for both mitigation and adaptation and develop a national action plan to respond to these needs. When participating countries already conducted a TNA earlier, the objective is to review them and make them more strategic


18

http://www.tech-action.org/

and useful in an operational sense, not least in the light of the recent development under the Paris Agreement and requirements for countries to meet their national targets set out in their NDCs.

The activities that will be developed under this output will enable participating countries to identify, prioritize and assess their technology needs, including the identification of enabling framework conditions, for both mitigation and adaptation and thereby support the development of national technology action plans to respond to the prioritized technology needs. As a result, it is expected that key information on national needs and priorities related to climate technology is available from TNAs and TAPs, to help countries meet UNFCCC commitments such as NDCs as well as other sustainable development priorities.

Output 2 will be structured around the five following sub-outputs:

Sub-Output 2.1: TNA reports are developed/updated and approved

Activity 2.1.1: Setting up and preparing for the TNA Process

To achieve the objectives, outputs and expected outcomes of the TNA process, a national TNA team must be formed. This team will, under the leadership of a National TNA Coordinator, conduct the TNA process (see Annex K for further clarification).

Activity 2.1.2: Identification and prioritization of sectors and technologies

The first step is to prioritize sectors based on national development priorities and identification of key GHG emitting sectors. For mitigation, sector prioritization has been conducted very recently for most countries as part of the development of their NDC. For adaptation, some countries have already identified their priority sectors as part of their NAP process.

The prioritization of technologies, within the selected priority sectors, is the first analytical step in the TNA process. The conclusions of this step shall be reported in the first of the three deliverables: Technology Needs Assessment report. The process for identifying and prioritizing technologies follows the approach for conducting Multi-Criteria Analysis. It includes the analysis of the current situation (local context, plans, strategies, policies), preparing technology factsheets and other information, defining criteria for assessing adaptation and mitigation technologies, and organizing stakeholder consultations.

Sub-Output 2.2: Barrier Analysis & Enabling Framework (BAEF) reports are developed and approved

Activity 2.2.1: Analyze the market conditions and diffusion barriers for each of the technologies selected under sub-Output 2.1

The national TNA teams will identify all possible barriers to technology transfer and diffusion through literature survey, interviews and facilitated workshop brainstorms, screening their long-list of barriers to select the most essential ones, and classify their selected essential barriers into a hierarchy of categories.

Activity 2.2.2: Identifying measures to create an enabling framework for the technologies selected under Output 2.1

The national TNA teams will identify specific measures through facilitated workshops. This will include identification and analysis of successful policy measures from national experience and other countries, pre-assessing their potential feasibility in the local context.


19

The report for the BAEF is the second of the three deliverables that participating countries are expected to submit, and the one for which it is encouraged that countries dedicate most resources to prepare given the analytical requirements.

Sub-Output 2.3: TAP reports (including project ideas) are developed and approved

Activity 2.3.1: Setting the TAP ambition

Based on the results from sub-outputs 2.1 and 2.2, the TNA team will describe the scale and context for technology deployment and diffusion, referred to as the country’s TAP ‘ambition’. The TAP ambition will be in line with national development goals and NDC targets.

Activity 2.3.2: Identifying actions and activities to include in the TAP

Based on the results from sub-outputs 2.1 and 2.2, national TNA teams will summarize and prioritize the barriers to deployment and diffusion for each technology, as well as select possible measures for addressing these based on their cost and benefits, effectiveness, efficiency, suitability and applicability.

These selected measures will then be turned into a list of Actions, which are then expanded into a set of specific activities, i.e. the specific things to be done to realize an Action. For each activity: (i) the relevant stakeholders will be identified, (ii) a timeframe will be defined and (iii) human and financial resources needed will be estimated. In addition, countries will select some Actions and put these forward in project ideas.

The TAP is the third of the three deliverables that participating countries are expected to submit. It will include a management plan for reporting, risk management, corrective measures, and contingency plans. The preparation of a TAP is the responsibility of the TNA coordinator in collaboration with national consultants and the sectoral or technology working groups within the TNA team, in collaboration with a group of relevant stakeholders.

Sub-Output 2.4: Project concepts are developed and approved

Each country will identify the most promising project ideas (i.e. the ones raising the most interest from decision makers and development partners), and develop and submit at least 1 project concept note targeted at a specific donor, financier or fund. The targeted donor, financier or fund will be identified and selected during project implementation. The project concepts will include detailed information on the level of support required (i.e. Institutional/policy strengthening costs, cost of assessments and feasibility studies required, etc.) for a specific Action. These project concepts will be targeted at specific donors or funding organizations (e.g. GEF, GCF, Adaptation Fund, etc.).


20

From TAP to implementation

In view of the nature of the TNA/TAP process and its outputs, project concepts will aim to address the barriers and establish the enabling frameworks for technology deployment and technology investments (i.e. Type I activities as per figure above). There may be opportunities to develop project concepts that include both a grant component and an investments component (i.e. a combination between Type I and Type II activities).

Sub-Output 2.5: TNA/TAP results are communicated and disseminated

Activity 2.5.1: National level communication and dissemination

During the TNA process planning stage, national TNA stakeholders will identify specific opportunities and activities for communicating on the TNA process and its results to decision makers and donors/financiers. Activities will include the development of national dissemination packages for disseminating the TNA results (including targeted briefs and documents for various audiences), the organization of national roundtables and national dissemination events

Activity 2.5.2: Global level communication and dissemination

A number of global workshops and events will be organized for sharing of experiences, and dissemination of results and best practices, including:

TNA Phase IV kick-off workshop in collaboration with UNFCCC: The objective of this workshop is to share not only the results of TNA Phase I, II and III but also to share the experiences from TNA


21

champions of Phase I, II and III. In addition to Phase I, II and III champions, representatives from the regional and international funding community will be invited to participate.

Global experience sharing workshop in collaboration with UNFCCC: An experience sharing workshop will be organised after the third regional training workshops and before the final preparations of national TAPs. Thus, participating countries will have the chance to interact with other participating countries and share experiences from the process. Similar to the kick-off workshop, TNA champions of Phase I, II and III as well as representatives from the funding community will be invited.

Deliverables

The main deliverables under Output 1 will include:

Updated and new methodologies and tools to complement existing guidance

Country capacity building package to support national TNA teams

Updated regional training package

One (1) training of trainers workshop

Two (2) national capacity building workshops per country for the members of national TNA committees, sector working groups and other relevant national stakeholders, a total of 34 workshops for the 17 countries

Three (3) regional workshops per region for national TNA coordinators and TNA consultants, a total of 12 workshops

Dissemination of tools and methodologies, including provision of the same to closely related initiatives and networks in order to support technology identification and prioritization work

Outreach and awareness creation of TNA/TAP results, through preparation and distribution of outreach material and participation in international events, to increase funding and implementation of TNA/TAP results

One (1) global kick-off workshop at the start of the project and one (1) experience sharing workshop at the end of the TAP preparation stage. These workshops include peer-to peer learnings with champions from TNA Phase I, II, III to facilitate inter-country collaboration and sharing of experience,. lessons learnt and best practices

Three (3) side-events

Newsletters

The main deliverables under Output 2 will be a series of minimum 3 reports plus one project concept note per country:

A TNA report with a detailed description of how the TNA process has been conducted, information on prioritized sectors and subsectors in need of mitigation and adaptation technologies and which methodologies have been used for the prioritization of technologies. The report includes the results of the technology prioritization.

A Barriers Analysis and Enabling Framework report that will include an in-depth analysis of the actual market, trade and other barriers that hinder the transfer, diffusion and uptake of the priority technologies identified in the first deliverable. In addition, the report includes an assessment of the policy, institutional and finance conditions required to overcome these barriers.

A TAP report that will present action plans to respond to the country’s prioritized technology needs for low carbon and climate resilient development. This report will include project concept notes on selected technology priorities.

At least one project concept based on selected TAP Actions

A series of national TNA/TAP dissemination packages (i.e. targeted policy and advocacy briefs)


22

B.2) Stakeholders

The governments of all participating countries have been consulted and the GEF Operational Focal Points (OFP) have issued Letters of Endorsement.

The project design benefits from the experience and feedback received from all the national stakeholders and regional centres engaged in previous phases. The approach and methodology are the same for all the participating countries and has been tested and proven (as well as constantly improved) in more than fifty countries to date. The majority of countries included in this new TNA Phase IV had previously approached UNEP, UDP, UNFCCC or CTCN through their UN National Climate Change Focal Points or National Designated Entities requesting support for conducting their TNA/TAP process.

The national stakeholders will be identified, consulted and brought on-board when the execution of the project will start, specific guidance in this regard is provided to the countries. As such, one of the first tasks for the national TNA teams will be to draw-up a specific list of stakeholders for consultation based on the priority sectors from their NDC selected for their TNA/TAP process. This list typically includes all the relevant institutions and agencies as well as representatives from the in-country donor community and national experts from academia/research, civil society and private sector (e.g. Ministries of Environment, Water, Transport, Energy, National Planning, Technologies, Finance, Municipal/County Councils, NGOs/CSOs/grassroots/community groups, academia, representatives of civil society as well as research centres, private firms importing and/or producing technologies for mitigation and/or adaptation, in-country financers, international donors).

Regional centres will be involved in the project, first as recipients of training and information, and in providing support directly to the countries. These regional centres are recognized climate change expert institutions in their respective regions such as the Environment and Development Action (ENDA, Senegal), the University of West Indies (UWI, Jamaica), the University of South Pacific (USP, Fiji), and the University of Cape Town (UCT, South Africa). These centers have gained considerable experience, knowledge and skills through their engagement in previous and current TNA phases and enhanced their expertise in providing technical assistance for TNAs and TAPs to countries. They will further contribute to project design, will be trained on any revised and new guidance to be delivered by the project, and will continue providing technical assistance to national teams.

Stakeholder Engagement Plan:

Main category Stakeholder name

Existing activities with potential to be leveraged

Content engagement, contributions to project implementation

Executing Agency

UDP Experience and know-how from TNA Phase I, II and on-going TNA Phase III project

UDP is the Executing Agency for the project at global level and is responsible for day-to-day management and execution of the project, including financial management and project reporting.


23




Implementing Agency

UNEP Experience and know-how from TNA Phase I, II and on-going TNA Phase III projectTEC observer and member of the TEC’s TNA taskforce Host organization for the CTCN

The project Implementing Agency is the UNEP Climate Mitigation Unit. It is responsible to the GEF for the project’s oversight, the use of resources as written in the EA request Document, or any amendments agreed to it by all donors.

The Energy and Climate Branch provides strategic guidance, supports the project and facilitates linkages with its other climate technology programmes and projects.

Recipient governments

Climate Change Focal Points and National Designated Entities

National Communications, CBIT, BURs, NDCs

The national entry point for a TNA is the UNFCCC focal point office. As for TNA Phase II and III, TNA Phase IV countries will be encouraged to nominate their TNA coordinators from the same office as the main focal points in the countries for the Technology Mechanism of the UNFCCC: the National Designated Entities (NDEs) of the CTCN. In cases where NDEs are not TNA Coordinators, they should have continuous collaboration with the TNA Coordinator and take actively part in the TNA process through participation in meetings etc.In addition, the National Steering Committee, which is the key guiding body of the project, should be comprised of members responsible for policy making from all relevant ministries as well as key stakeholders from the private sector. The National Steering Committee provides political acceptance to the TNA process within a country and will be responsible for political endorsement of the Technology Action Plans. In some countries there is an existing inter-ministerial National Climate Change Committee, which could also be utilized as a steering committee for the TNA project, ensuring coherence and linkages between national climate change activities.

Regional Centers (NGOs and academia)

ENDA, UWI, USP, UCT

TNA Phase I, II and III

Like in TNA I, II and III, the Regional Centers and consultants will, in cooperation with the staff at UDP, play a substantial role in providing technical support to the national TNA teams. The main responsibilities of the RCs will include organization and facilitation of regional training workshops, provision of technical and process support to the countries within the region during the whole project implementation, partnering with UDP in the organization and facilitation of regional experience sharing workshops for countries, and review and comment country deliverables.

Private Sector thyssenkrupp, C40

Perspectives from the private sector including aspects of investment potential for technology providers

Provide perspectives from the private sector, on how TNAs and TAPs can be taken forward for implementation, during strategic events. This could be joint activities during COP but, for example, also through the Regional Climate Weeks of which UDP, UNEP and UNFCCC are co-organizers. Collaboration with C40 will be sought in the elaboration of Cities theme for TNA IV. UDP already has existing collaboration with C40. UDP and UNEP already engages with thyssenkrupp representatives, through its role as a business representative in the TEC, and strengthening of this collaboration during TNA IV will be sought as well.

Potential donors/financial institutions

Green Climate Fund, Adaptation Fund, Danida

Funding of piloting and implementing technology related projects

The Global TNA Project Steering Committee will be composed by a representative from the GEF but also from other organizations and institutions, e.g. Accredited Entities, the Green Climate Fund, the UNFCCC Secretariat, the UNFCCC Technology Executive Committee, the Climate Technology Centre and Network, etc.


24




International organisations

UNFCCC Secretariat,UNFCCC Technology Executive Committee member, CTCN

Perspectives from international policy context in view of the Paris Agreement and work of the UNFCCC Technology Mechanism

The two bodies of the UNFCCC Technology Mechanism, the TEC and the CTCN, will serve as an advisory role of the TNA Phase IV project, since both are members of the TNA Project Steering Committee. Also, the TNA Phase IV project will continue working closely with the CTCN in order for countries to receive support for taking their TNA/TAP results forward

Civil society Community groups, local non-governmental organizations, indigenous groups, charitable organizations, faith-based organizations, professional associations, and foundations

Perspectiives from local and national contexts.

NGOs, labour leaders, faith-based organizations, religious leaders and other civil society representatives play a critical and diverse set of roles in societal development. The activities of civil society includes holding institutions to account and promoting transparency; raising awareness of societal issues; delivering services to meet education, health, food and security needs; implementing disaster management, preparedness and emergency response; bringing expert knowledge and experience to shape policy and strategy; giving power to the marginalized; and encouraging citizen engagement. Hence the engagement of the civil society in the national TNA process is important, since they speak the voice of society and also have the power to influence the actions of elected policy-makers and businesses.

The project involves a wide range of stakeholders both at the national level in the 17 countries supported and those within partner institutions including RCs. One of the first tasks of each country team will be to draw-up a specific list of stakeholders for consultation. This will include relevant institutions and agencies as well as experts according to national circumstances who would be at the core of the project. Ministries of Environment, Water, Agriculture, Transport, Energy, National Planning, Technology and Science, Finance, Legal/Law/Policy formulation, Municipal/County Councils, grassroots/community groups representing households as potential technology users, representatives from indigenous peoples groups as well as academia, representatives of civil society and research centres linked to climate change mitigation and adaptation will be involved. Private enterprises importing and/or producing technologies for mitigation and/or adaptation will be associated, and so will potential in-country financiers, national focal points and agencies of climate funds (e.g. GEF OFPs, NDAs, NIEs, NDEs), and international donors.

The experience from the TNA Phase I, II and III is that most of the relevant sectors have been represented in the TNA teams and therefore the same institutional setting will be suggested for countries in TNA Phase III. This applies also to National Steering Committees. Emphasis will be made on bringing on board decision makers from both public and private sectors. It should be emphasized that it is seen as utmost important to have commitment to the TNA/TAP process from the private sector. The private sector should be represented in the National Steering Committee as well as in the sectoral working groups, and should also be consulted during the various stages of the TNA/TAP process from the identification of technologies and analysis of related barriers and enabling framework requirements to development of project ideas and concept notes.

In addition, UDP is part of the Technical University of Denmark and works closely with the RCs during the implementation of the project. The RCs are all part of the research community in the respective regions and internationally, including University of Cape Town (Africa), University of West Indies (in the Caribbean), and University of South Pacific (in the Pacific Islands). At country level, the TNA consultants are often also lecturers or researchers in


25

the local universities, and universities and research institutions are, in most cases, also part of national working groups. The linkages with the national and regional research communities will continuously sought to be strengthened throughout project implementation.

Finally, select what role civil society will play in the project: Consulted only; Member of Advisory Body; contractor; Co-financier; Member of project steering committee or equivalent decision-making body; Executor or co-executor; Other (Please explain)

B.3) Gender Equality and Women’s Empowerment

TNAs and associated outputs such as prioritized technologies, and analyses of barriers to their transfer are expected to provide a powerful decision-support tool for technology transfer managers and development planners. Resulting Technology Action are expected to yield social benefits linked closely to reduction of greenhouse gas emissions while reducing vulnerability of the society to climate change impacts, hence increasing climate resilience of most vulnerable groups and sectors, including women. While the capacity building elements are very strong and focused on producing high quality TNAs involving all relevant stakeholders at national levels as well as providing the roadmap for technology adoption, implications on gender on the one hand and civil society on the other will be seen when implementing the identified measures.

Gender analysis on technology transfer is being integrated in TNA guidance tools and methodologies in the currently on-going TNA phase III project and a specific guidebook for developing a gender-responsive TNA has been developed. This will be further improved and applied into the Phase IV project. In addition, gender considerations will be taken into account in the engagement of various stakeholders in the process and in the identification of key decision-makers, target users and national champions.

Does the project expect to include any gender-responsive measures to address gender gaps or promote gender equality and women’s empowerment?

Yes No

If possible, indicate in which results area(s) the project is expected to contribute to gender equality: closing gender gaps in access to and control over natural resources; improving women’s participation and decision making; and or generating socio-economic benefits or services for women.

Does the project's results framework or logical framework include gender-sensitive indicators? Yes (refer to indicators/targets C and 2 in Annex A) No

Gender analysis:


26

To help ensure that both women and men can benefit from climate change adaptation and mitigation technologies and that gender inequalities in TNA project activities and outcomes will be reduced or eliminated, the TNA project focus on two key areas of activity to ensure integration of gender objectives in TNAs:

1. Institutionalization of gender-mainstreaming by the TNA team in order to create the long-term capacity to address gender issues in climate change adaptation and mitigation and to ensure that such issues are included in project documents.2. Implementation of actions, including conducting gender analyses in considering technology options, agreeing on gender-specific goals in the TNA, and integrating gender issues into TAPs and throughout TNAs.

Because gender issues are different across countries, regions, sectors and types of technology, a systematic gender analysis of technologies assessed in the TNA will reveal gender-differentiated climate change needs and priorities, as well as gender inequalities in terms of opportunities and outcomes. Gender mainstreaming in the TNA can therefore redress these problems within the context of climate change.

Gender Action Plan: The gender action plan below details how gender equality and women empowerment will be mainstreamed in the TNA Project.

Task Gender Design Features/activitiesCross-cutting approaches Equal training opportunities will be available for men and women

Team member employment on the project will comply with equal opportunity policies for both genders

Output 1 A specific guidebook under the TNA project is dedicated to gender: 'Guidance for a gender-responsive Technology Needs Assessment'. The guide aims to provide practical guidance on how to address systematically existing and potential gender inequalities specific to the climate change adaptation and mitigation objectives set out in TNAs.

All training materials, methodology, and dissemination will be gender sensitive.At least 30% of women trainees/participants in project workshops (all training and

workshops’ attendance lists shall be disaggregated by gender). Feedback questionnaires and their results will be disaggregated by gender.

Output 2 Both male and female consultants will be encouraged to apply as consultants in countriesNational TNA Coordinators will be encourage to diversify their committee and working

groups, where appropriate, so competent experts of both genders are involved

B.4) Private sector engagement

Experiences from the previous TNA Phase I and II and the on-going TNA Phase III confirm that private sector stakeholders are motivated to participate in the project activities when they see a strong possibility for the TNA/TAP process to enhance prospects for business. Therefore, private sector actors such as technology producers/providers/installers generally only come on board once their technologies have been prioritized (i.e. when they see a real potential for future business opportunities). At that stage of the process, the TNA/TAP process becomes more interesting for them and they can provide valuable inputs notably for the barrier analysis and development of the TAP. In many cases, it is challenging to engage them formally and earlier in the process and the national TNA team (experts) often seek their inputs through one-to-one meetings.


27

https://tech-action.unepdtu.org/publications/guidance-for-a-gender-responsive-technology-needs-assessment/

https://tech-action.unepdtu.org/publications/guidance-for-a-gender-responsive-technology-needs-assessment/

It should be noted though that in each of the participating countries, the private sector will be formally represented in the National Steering Committees (usually through representatives of business associations or chambers of commerce) while the specific companies/entrepreneurs will be engaged in the sectoral working groups, and will be consulted by the national teams leading the TNA/TAP at various stages of the process from the identification of technologies and analysis of related barriers and enabling framework requirements to development of project ideas and concept notes.

B.5) Risks

The following table indicates the main risks identified that might prevent the project objectives from being achieved or may be resulting from project implementation, and proposes measures that address/mitigate these risks:

Risk description Main category

Impact severity Likelihood Risk Mitigation

Strategy and SafeguardsBy Whom /

When?

1. Project affected by political instability or unrest, leading to lack of engagement and commitment with stakeholders.

Political High Medium

UNEP, UDP and regional centers have many years of engaging with politically unstable countries. In some cases necessary workshops, training and meetings have been held outside of the country.Risk of non-engagement is significantly reduced through continued communication and follow up with national experts / consultants, counterparts within the national government entities, and clear communications to national entities on the benefits of the project.

UNEP, UDP and regional centers throughout project lifetime

2. Stakeholders not engaging as expected in the project

Institutional Major Medium

(i) Careful selection of potential champions, (ii) Use of regional centers networks, (iii) Demonstrate clear benefits to participants, access to networks and knowledge for improving business or institution. (iv) Support, interest and active involvement of decision makers within countries by utilising previous contacts at high level in ministries and government agencies.

UNEP, UDP and regional centers throughout project lifetime

3. Limited capacity of local partners hinders implementation.

Technical Major MediumSelection of partners through competitive bidding, paying attention to established capacity. Resources dedicated to further capacity building

UNEP, UDP and regional centers in collaboration with National TNA focal points


28

Risk description Main category

Impact severity Likelihood Risk Mitigation

Strategy and SafeguardsBy Whom /

When?

4. Scaling up and replication of TAPs is unsuccessful

Financial Major Likely

The project aims to build strong local, national and international partnerships with all relevant stakeholders to support learning, scale up and replication. To reduce risk of failure to attract donor funding, the project will support country-led consultations with potential donors, with a view to establishing a clear understanding of donor funding policies, as well as securing technical support from donors in the formulation of project ideas from the TAPs. Since bilateral aid constitutes most aid flows to developing countries, the project will include specific provisions for periodic donor consultations focused on TNA-TAP activities, status updates, and next steps closely linked to existing national donor coordination mechanisms in the country. The project will also push for mainstreaming TNA/TAP priorities into national and sectoral development plans or strategies that influence (and are influenced by) the direction of donor support initiatives in the country.UNEP, UDP and regional centers work actively to encourage countries using TA mechanisms (i.e. CTCN, GCF Readiness) to help countries moving from TAP priorities to technology deployment projects. Overall, risk will be reduced significantly through the measures envisaged to bring investors, funders and national governments on board from an early stage to enhance the conditions for implementation.

UNEP, UDP and regional centers in collaboration with National TNA focal points and National TNA Steering Committees

B.6) Knowledge Management

The experience, lessons learnt and best practices will be documented along project implementation notably with a view to better respond to the needs of financiers and decision makers and improve the TNA/TAP methodology. Interactions with donors and development assistance partners will facilitate feedback on the TNA process and related methodologies. The project team (comprising UNEP, UDP and Regional Centre staff as well as internationally recruited consultants with experience from TNA I, II and III), together with national TNA teams will use any concerns/recommendations to design and implement improvements that will, in turn, lead to better quality TNAs, TAPs and specific project concepts for funding consideration.

The project will put a strong emphasis on the dissemination of the outputs produced at national, regional and international level. The efforts for national communication will be reinforced compared to previous phases of TNAs, to ensure that outputs will be reaching out and used by the target beneficiaries and users. The project will also enable stronger inter-country cooperation, beyond the current regional training support, as this could lead to better co-ordination of TNAs and requests for international support. The project will create links with successful TNAs to ensure up-to-date information dissemination, such as lessons learned and knowledge exchange between country teams and experts (South-South cooperation).

The website Tech-Action hosted by UDP keeps track of TNA project activities and impacts and includes all materials needed to do a TNA and TAP (http://www.tech-action.org/). In addition, the UNFCCC has recently updated its website on technologies, including information on TNAs where all TNA reports are also uploaded and information on TNAs is shared (http://unfccc.int/ttclear/tna). Both websites will continue serving for TNA Phase IV.


29

http://unfccc.int/ttclear/tna

http://www.tech-action.org/

C. DESCRIBE THE ENABLING ACTIVITY AND INSTITUTIONAL FRAMEWORK FOR PROJECT IMPLEMENTATION

C.1) Institutional arrangements

As the GEF Implementing Agency, UNEP’s GEF Climate Mitigation Unit will be responsible for project oversight and ensuring compliance with GEF and UNEP policies and procedures.

The UNEP DTU Partnership (UDP) will act as the project’s Executing Agency at the global level. Its main task is to provide guidance to countries (i) on setting up national project implementation structures using the existing model from TNA I, II and III, and (ii) on conducting the TNA process. In this task, UDP will work with some selected regional institutions labelled as Regional Centres.

To achieve the outputs and outcome of the TNA process at the country level, national TNA teams must be formed (see figure below). The national TNA team will, under the leadership of a National TNA Coordinator, conduct the TNA process. The National TNA Team is an umbrella that refers to the TNA Committee, the sectoral working group and the national consultants.

Institutional structure for TNA implementation

This institutional structure in the participating countries will enable the engagement of key sectoral actors, including experts and decision makers, in the TNA process, and facilitate their use of its results. Key actors include representatives from key ministries, e.g. ministries of finance, trade, industry, transport, forestry, energy, water, health, and agriculture. The TNA process will be conducted through a stakeholder driven approach lead by the national TNA team, composed by the National TNA Coordinator, the TNA consultants and the sector working groups.


30

The national consultants are selected by the National Contracting Entity, with approval by the National TNA Project Steering Committee, and with support, guidance and approval from UDP as well. The consultants will work in close collaboration with the National TNA Coordinator and the sectoral working groups. The consultants are reporting directly to the National TNA Coordinator. The consultants’ overall task is to support the entire TNA process from identification and prioritization of sectors and technologies throughout the preparation of TAPs and project ideas. The consultants are essential to the implementation of the TNA project at national level and preparing its deliverables. Together with the National TNA Coordinator, the consultants participate in the national and regional capacity building workshops, and with the skills gained during this training, they facilitate the work in the sectoral working groups and produces the TNA deliverables under the auspices of the National TNA Coordinator.

The Global TNA Project Steering Committee will be composed by a representative from the GEF, UNEP its Implementing Agency role and UDP in its Executing Agency role, but also by representatives from other organizations and institutions. This includes, for example, the Word Bank, Green Climate Fund (GCF), Adaptation Fund, UNFCCC Secretariat, UNFCCC Technology Executive Committee, CTCN, NDC Partnership, the Least Developed Countries Technology Bank, GIZ, and UNIDO. The Steering Committee and its meetings will be jointly organised by UDP and UNEP.

A full description of the TNA institutional set up is described in the TNA guide note on ‘Organising the National Technology Needs Assessment (TNA) Process’.

Finally, UNEP’s Energy and Climate Branch (Economy Division), will provide in-kind backstopping services to UDP through strategic, technical and methodological support for project implementation; it will support the dissemination of results and engagement of donors/development partners to foster TAP implementation; and facilitate synergies and links between the project and UNEP’s other climate change programmes and projects.

C.2) Coordination with other initiatives

To prepare the inception of the TNA/TAP process, each participating country will identify the relevant national GEF projects and initiatives for the national TNA team to link or coordinate with. The team of national consultants will further map and target relevant projects and initiatives to build on or engage with. The project will coordinate with and support or build on the country activities/results from the following programmes where operational:

The Capacity-Building Initiative for Transparency (CBIT) funded by GEF which “supports developing country Parties, upon request, in meeting enhanced transparency requirements as defined in Article 13 of the UNFCCC Agreement in a timely manner”.

The Global Support Programme (GSP) funded by GEF which provides support to non-Annex I Parties in order to prepare National Communications (NCs) and Biennial Update Reports (BURs) that are submitted to the UNFCCC.

NDC support programmes which support countries in strengthening and foster implementation of their national commitments to the Paris Declaration, including the NDC Partnership where collaboration has been established under TNA Phase III.

GCF activities (notably readiness activities) in the countries; TNA is today recognized by GCF as a tool to support pipeline development.

The project will also encourage National TNA teams to use global initiatives and platforms offering technology knowledge or/and advisory support services such as:

CTCN SDG Technology Facilitation Mechanism


31

https://sustainabledevelopment.un.org/tfm

World Bank’s InfoDev and its network of Climate Innovation Centers (CICs) UNIDO’s Regional Centers for Renewable Energy and Energy Efficiency UN:CC Learn NREL’s Clean energy solutions centre ENEA’s Energy Access Programme weADAPT

The project will also continue its close collaboration with the Climate Technology Center and Network (CTCN), to increase opportunities related to technical assistance, knowledge sharing and networking activities. In this regard, the project will encourage the nomination of TNA coordinators to be within the same office as the National Designated Entities (NDEs) of the CTCN. Out of the 36 countries that participated in TNA phase I, 16 national TNA coordinators are now NDEs, and 15 other NDEs are part of the same institution as the TNA coordinator. Out of 27 countries participating in TNA phase II, 8 TNA focal points are also NDEs, and 6 other NDEs are part of the same institution than the TNA coordinator. Finally, out of the 23 countries participating in TNA phase III, 11 TNA coordinators are also NDEs, and the 4 others are part of the same institution as the NDE.

UNEP and UDP are also actively working with the UNFCCC TEC TNA task force. For example , in 2015 and 2016, they collaborated to develop a new guidance for preparing TAPs and there is an ongoing collaboration to enhance and monitor TAP implementation in developing countries. Building on this, the UNEP, UDP and the UNFCCC Secretariat also continuously collect and disseminate success stories, best practices, lessons and challenges within countries in terms of implementation of TAPs. This has resulted in the publications 'Stories from the Technology Needs Assessments' (2017), 'Summary of Country Priorities Technology Needs Assessments 2015 – 2018’ (2018) and a second ‘Stories from the Technology Needs Assessments’ (2019) – all of which can be found on the resource center of the TNA website4.

The TNA process is a country led activity and TAP technology priorities and actions are directly responding and linked to the relevant priorities from national plans and strategies of participating countries, based on which the United Nations Development Assistance Framework (UNDAF) and country partnership strategies of other development partners are developed. As such, the national TNA teams will consult with relevant UN agencies and other development partners in the country during the TNA process.

D. DESCRIBE, IF POSSIBLE, THE EXPECTED COST-EFFECTIVENESS OF THE PROJECT

D.1) Cost effectiveness

Technology issues are at the centre of climate change negotiations and at COP24 the Parties to the UNFCCC have re-emphasized the importance of conducting Technology Needs Assessments in developing countries and reiterated the need for the financial mechanisms under the convention to support this. Reduction of greenhouse gas emissions has a global benefit, and measures to reduce emissions must be undertaken in developing countries to meet goals agreed under the Convention and the Paris Agreement. GEF involvement is justified as this is a response to the UNFCCC decisions and guidance.

At the national level, successful implementation of this project in the participating countries will help their governments to remove barriers by (i) establishing the necessary enabling frameworks for accelerated technology transfer and diffusion of prioritized climate technologies, and (ii) lead to associated reductions in GHG emissions and an increase in the countries’ resilience to challenges posed by climate change. 4 https://tech-action.unepdtu.org/resources/?fwp_content_type=tna-story


32

https://tech-action.unepdtu.org/resources/?fwp_content_type=tna-story

http://www.enea-consulting.com/en/about/energy-access/

https://cleanenergysolutions.org/resources

https://www.uncclearn.org/

At the global level, UDP – a UNEP collaborating centre - is an important partner to the project, because it is a recognized partner under the UNFCCC and it is the architect behind the methodology and guidance that is developed for Technology Needs Assessments.

At the regional level, for cost-effectiveness purposes, UDP works with Regional Centres contracted under the project to organize and conduct the regional training workshops and act as regional TNA helpdesks for the countries. This approach has proven to be very efficient: while building the regional Centres capabilities, the project can leverage their networks within the countries and rely on their cultural sensitiveness and local knowledge within the different regions.

From experience, the participating countries highly value the peer exchanges on a regional level taking place as part of the TNA capacity building workshops. In TNA Phase IV, new approaches will be further explored to enhance peer to peer exchanges and learning as an autonomous way of building national capacities to conduct Technology Needs Assessments.

As far as other alternatives are concerned, when compared to the Enabling Activities project, the TNA project is more cost effective. Indeed, the Enabling Activities approach is built around a US$ 10 million umbrella project (providing international technical support) alongside stand-alone country projects of US$ 500,000 each. In the case of the TNA project, both the country activities and the international technical support are all included under the US$ 270,000 funding allocation per country.

Finally, the ultimate purpose of the TNA projects is to identify and analyse priority climate technologies to attract investments in the different countries. In this instance, the TNAs are recognized as an efficient and good tool to support countries in preparing their project pipelines for the funding mechanisms under the Convention and other potential funding sources.

D.2) Global environmental benefits and/or adaptation benefits

Global environmental benefits will stem from policy changes to promote technology development, transfer and deployment, and financial support gained for project implementation. These measures are expected to accelerate clean technology diffusion and bring about a reduction in greenhouse gas emissions and resilience to climate change effects as a result.

Other benefits expected to be delivered by the project include: better in-country coordination amongst institutions related to technology transfer and adoption; increased awareness of opportunities and associated benefits of technology adoption by decision makers buttressed by increased local capacity to assess adequate, priority technologies according to country needs, identify barriers to their adoption and recommend actions for ensuring the deployment of the prioritized technologies.

The project will ensure that environmental safeguards are included in any TAPs that are developed. Moreover, the actions of the TNAs and TAPs will present the opportunity to mitigate GHG emissions and/or reduce the vulnerability of sectors and livelihoods to the adverse impacts of climate change, thus strengthening resilience to climate change. Cleaner technologies will lead to reduced pollution which will result in improved health of the local population and reduce its vulnerability to the adverse impacts of climate change. The deployment of clean technologies will improve access to modern energy services and increase water and food security in the countries.


33

D.3) Innovation, sustainability and potential for scaling up

This project will take into account lessons learned from TNA Phase I and II. The project will include national training workshops in addition to regional trainings like for TNA Phase III. Having national workshops will allow having more national stakeholders trained, including a larger number of staff at the coordinating entity and the technology/sector working groups. The project will also continue strengthening and using e-learning materials that have been developed, tested and successfully used in TNA Phase II and are now also being used by the TNA Phase III countries to complement national, regional and global training workshops.

As for TNA Phase III, TNA Phase IV will also include donor roundtables at country level and strengthen country networks. In collaboration with the UNFCCC and its Technology Executive Committee, the project will continue tracking results implementation from TNA Phase I, II and III as a means for showing good examples and learning from countries carrying their TNA/TAP results forward after project completion.

Sustainability of impacts will come from policy change and funding for project proposals that follow the TNA process. If the project is successful in attracting funding and bringing about policy change there is an expectation that countries will be the recipients of more technologies. With the revision and enforcement of policy revisions, the increase in technology transfer would be sustained.

The project includes technical training for national consultants, national TNA coordinators as well as national stakeholders on identifying, prioritizing and assessing technologies, assessing barriers, identifying enabling framework conditions, and developing action plans to overcome these. This approach will promote sustainability beyond the lifespan of the project, since a wide range of national actors will have acquired knowledge and skills for technology assessments which are important for taking technology plans further to implementation. Moreover, it will increase capacity of the stakeholders to replicate the process and methodologies for assessing other technologies in detail, or in additional sectors, which may also be beneficial to the country, not least in terms of requirements for NDC implementation planning.

D.4) Benefits

Technology Needs Assessment presents a unique opportunity for countries to track their needs for new technologies, equipment, capacities and skills necessary to mitigate GHG emissions and reduce the vulnerability of sectors and livelihoods to climate change. TAPs systematically address practical actions necessary to reduce or remove policy, finance and technology related barriers to the uptake and scaling up of investment in low-carbon and climate resilient technologies.

Resulting technology actions are expected to yield social benefits linked closely to reduction of greenhouse gas emissions while reducing vulnerability of the society to climate change impacts, hence increasing climate resilience of most vulnerable groups and sectors. Direct benefits expected to be delivered by the project include: better in-country coordination amongst institutions related to technology transfer and adoption; increased awareness of opportunities and associated benefits of technology adoption by decision makers buttressed by increased local capacity to assess adequate, priority technologies according to country needs, identify barriers to their adoption and recommend action that are directly related to project activities. This TNA Phase IV project aims to support participating countries to implement their commitments under the Paris agreement and the revision of their NDC. Hence, some of the indirect benefits expected from the project include establishment of stable policy environments featuring strong incentives for increased flows of domestic and foreign investments in prioritized adaptation and mitigation technologies.


34

Global environmental benefits will stem from policy changes to promote technology development, transfer, and deployment, and financial support gained for project implementation. These measures are expected to accelerate clean technology diffusion and bring about a reduction in greenhouse gas emissions and resilience to climate change effects as a result. Other benefits expected to be delivered by the project include: better in-country coordination amongst institutions related to technology transfer and adoption; increased awareness of opportunities and associated benefits of technology adoption by decision makers buttressed by increased local capacity to assess adequate, priority technologies according to country needs, identify barriers to their adoption and recommend actions that are directly related to project activities.

In addition, the TNAs and TAPs will contribute to achieving the Sustainable Development Goals (SDGs) particularly, but not exclusively, the following:

Goal 6 “Clean water and Sanitation,” specifically, (6.A) “By 2030, expand international cooperation and capacity-building support to developing countries in water- and sanitation-related activities and programmes, including water harvesting, desalination, water efficiency, wastewater treatment, recycling and reuse technologies.”

Goal 7 “Affordable and Clean Energy,” and specifically, (7.A) “By 2030, enhance international cooperation to facilitate access to clean energy research and technology, including renewable energy, energy efficiency and advanced and cleaner fossil-fuel technology, and promote investment in energy infrastructure and clean energy technology”.

Goal (9) “Build resilient infrastructure, promote inclusive and sustainable industrialization and foster innovation,” and specifically, (9.B) “Support domestic technology development, research and innovation in developing countries, including by ensuring a conducive policy environment for, inter alia, industrial diversification and value addition to commodities.”

Goal (13) “Take urgent action to combat climate change and its impacts,” and specifically (13.1) “Strengthen resilience and adaptive capacity to climate-related hazards and natural disasters in all countries”, (13.2) “Integrate climate change measures into national policies, strategies and planning” and (13.3) “Improve education, awareness-raising and human and institutional capacity on climate change mitigation, adaptation, impact reduction and early warning”.

Goal (17) “Strengthen the means of implementation and revitalize the global partnership for sustainable development,” specifically, (17.14) “Enhance policy coherence for sustainable development.”, (17.16) “Enhance the global partnership for sustainable development, complemented by multi-stakeholder partnerships that mobilize and share knowledge, expertise, technology and financial resources, to support the achievement of the sustainable development goals in all countries, in particular developing countries.”, and (17.7) “Promote the development, transfer, dissemination and diffusion of environmentally sound technologies to developing countries on favourable terms, including on concessional and preferential terms, as mutually agreed.” will be achieved.

The project will ensure that environmental safeguards are included in any TAPs that are developed. Moreover, the actions of the TNAs and TAPs will present the opportunity to mitigate GHG emissions and/or reduce the vulnerability of sectors and livelihoods to the adverse impacts of climate change, thus strengthening resilience to climate change. Cleaner technologies will also lead to reduced pollution which will result in improved health of the local population. The deployment of clean technologies will improve access to modern energy services, and increase water and food security in the countries.

E. DESCRIBE THE BUDGETED M&E PLAN:


35

The project will follow UNEP standard monitoring, reporting and evaluation processes and procedures. Substantive and financial project reporting requirements are summarized in Annex J. Reporting requirements and templates are an integral part of the UNEP legal instrument to be signed between the executing agency and UNEP.

The project’s Monitoring and Evaluation (M&E) plan is in line the GEF’s M&E policy and UNEP’s Evaluation Policy and Programme Manual. In addition, the Project Results Framework (Annex A) includes SMART indicators for each expected outcome and end-of-project targets. These indicators along with the key deliverables and benchmarks included in the workplan (Annex L) will be the main tools for assessing project implementation progress and whether project results are being achieved. The means of verification and the costs associated with obtaining the information to track the indicators are summarized in Annex J. Other M&E related costs are also presented in the Costed M&E Plan and are fully integrated in the overall project budget.

The M&E plan will be reviewed and revised as necessary following the project inception missions in the 17 new TNA countries to ensure project stakeholders understand their roles and responsibilities vis-à-vis project monitoring and evaluation. Indicators and their means of verification may also be fine-tuned following the project inception missions in the 17 countries. Day-to-day project monitoring will be the responsibility of the project management team but other project partners will have responsibilities to collect specific information to track the indicators. It will be the responsibility of the Project Manager to inform UNEP and the Project Steering Committee (PSC) of any delays or difficulties faced during implementation so that the appropriate support or corrective measures can be adopted in a timely fashion. As for TNA Phase I, II and III, the Project Manager and UNEP will have regular consultations with the PSC. The PSC will receive periodic reports on progress and will be asked to make recommendations to UNEP concerning the need to revise any aspects of the Results Framework or the M&E plan.

The PSC will receive periodic reports on progress and will make recommendations to UNEP concerning the need to revise any aspects of the Results Framework or the M&E plan. Project oversight to ensure that the project meets UNEP and GEF policies and procedures is the responsibility to the Task Manager in UNEP-GEF. The Task Manager will also review the quality of draft project outputs, provide feedback to the project partners, and establish peer review procedures to ensure adequate quality of scientific and technical outputs and publications.

Project supervision will take an adaptive management approach. The Task Manager will develop a project supervision plan at the inception of the project which will be communicated to the project partners during the inception workshop. The emphasis of the Task Manager supervision will be on outcome monitoring but without neglecting project financial management and implementation monitoring. Progress vis-à-vis delivering the agreed project global environmental benefits will be assessed with the PSC at agreed intervals. Project risks and assumptions will be regularly monitored both by project partners and UNEP. Risk assessment and rating is an integral part of the Project Implementation Review (PIR). The quality of project monitoring and evaluation will also be reviewed and rated as part of the PIR. Key financial parameters will be monitored quarterly to ensure cost-effective use of financial resources.

Findings from the TNA Phase II and III Terminal Evaluations will also be considered whenever relevant and applicable to the TNA Phase IV project as soon as the results from these evaluations are available to the project team.

In-line with UNEP Evaluation Policy and the GEF’s M&E Policy the project will be subject to a Terminal Evaluation (TE). Additionally, a Mid-Term Evaluation (MTE) will be launched by the Project Manager before the project reaches its mid-point. The possibility of a Mid-Term Evaluation will be discussed with the Evaluation Office. The MTE and TE will take into account the recommendations and findings from the Terminal Evaluation of TNA Phase I, II and III. The PSC will participate in the MTE and develop a management response to the evaluation recommendations along with an


36

implementation plan. It is the responsibility of the UNEP Task Manager to monitor whether the agreed recommendations are being implemented.

The Evaluation Office will be responsible for the TE and will liaise with the Task Manager and UDP (the Executing Agency) throughout the process. The TE will provide an independent assessment of project performance (in terms of relevance, effectiveness and efficiency), and determine the likelihood of impact and sustainability. It will have two primary purposes: (i) to provide evidence of results to meet accountability requirements, and (ii) to promote learning, feedback, and knowledge sharing through results and lessons learned among UNEP, the GEF, executing partners and other stakeholders. The direct costs of the evaluation will be charged against the project evaluation budget. The TE will be initiated no earlier than six months prior to the operational completion of project activities and, if a follow-on phase of the project is envisaged, should be completed prior to completion of the project and the submission of the follow-on proposal. The TE must be initiated no later than six months after operational completion.

The draft TE report will be sent by the Evaluation Office to project stakeholders for comments. Formal comments on the report will be shared by the Evaluation Office in an open and transparent manner. The project performance will be assessed against standard evaluation criteria using a six-point rating scheme. The final determination of project ratings will be made by the Evaluation Office when the report is finalised and further reviewed by the GEF Independent Evaluation Office upon submission. The evaluation report will be publicly disclosed and may be followed by a recommendation compliance process.

The total M&E budget for the TNA phase IV project is expected to be US$ 60,000, broken down as follows: Mid-Term Evaluation (MTE): US$ 20,000 Terminal Evaluation (TE): US$ 40,000

F. EXPLAIN THE DEVIATIONS FROM TYPICAL COST RANGES

As for the two previous global TNA projects funded by GEF, the TNA Phase IV project covers multiple countries (17 in total) and each country has its own project cooperation agreement and workplan. For this reason and in line with practices from previous global TNA projects approved by the GEF, the level of PMC required is similar to that of a Medium-Size Projects, i.e. up to 10% of the Subtotal project cost. Below is a more detailed justification to support the calculation of the total Project Management Costs (PMC) requested in PART I, Table B of this Enabling Activity request:

As explained above, the TNA Phase IV project will be implemented in 17 countries. Each of the 17 countries will prepare the following reports:

1. Technology Needs Assessment report (TNA reports),2. Barrier Analysis and Enabling Framework report (BA&EF report), 3. Technology Action Plan (TAP), including project ideas4. Project Concept Note(s)

To support the 17 project countries in conducting their TNA/TAP process, it will require the involvement of 6 to 8 people from UNEP DTU Partnership (UDP). It is estimated that over the 3 years about 197 hours are required for project management per country (see table below showing a breakdown of the corresponding management activities in terms hours and costing by country. UDP average hourly rate is approximately US$ 120 / hour). These management activities are more intensive at the start of the project and include the following:

Conducting inception missions to 17 countries. GEF 7 Enabling Activity Template- March 15, 2019 (revised)

37

Drafting of agreements with 17 countries and 4 Regional Centres. Developing terms of reference for experts (national and international). Supporting the development of 17 national workplans for the implementation of the TNA/TAP process. Monitor implementation of TNA/TAP process in 17 countries. Coordination of and preparations for the organization of regional training workshops and other TNA related

events. Coordination of communication of progress, results, success stories and best practices. Day to day coordination and follow-up with 17 national TNA teams (TNA country coordinators and other local

stakeholders such as national consultants, representatives from ministries and the local funding community). Day to day coordination with the TNA experts in UDP and the 4 Regional Centres/Regional Consultants. Reporting on project activities to UNEP and the Project Steering Committee (this includes financial reporting, bi-

annual progress reporting and preparing the annual Project Implementation Review (PIR) report for GEF in collaboration with the UNEP Task Manager).

Below table provides an overview of the project management man-hours required to support each country over the 3-year project implementation period:

On top of the manpower costs, the project management team will require US$ 17,000 of GEF funding for management-related travel, brining the total PMC amount to US$ 417,192.


CountryProject management (hours) Total PMC cost (US$)

Year 1 Year 2 Year 3 Total (Year 1 + Year 2 + Year 3)

Angola 65.65 65.65 65.65 196.95 23,540.7

Bahamas 65.65 65.65 65.65 196.95 23,540.7

Cabo Verde 65.65 65.65 65.65 196.95 23,540.7

Comoros 65.65 65.65 65.65 196.95 23,540.7

Equatorial Guinea 65.65 65.65 65.65 196.95 23,540.7

Ethiopia 65.65 65.65 65.65 196.95 23,540.7

Lesotho 65.65 65.65 65.65 196.95 23,540.7

Maldives 65.65 65.65 65.65 196.95 23,540.7

Niue 65.65 65.65 65.65 196.95 23,540.7

Papua New Guinea 65.65 65.65 65.65 196.95 23,540.7

Saint Kitts & Nevis 65.65 65.65 65.65 196.95 23,540.7

Solomon Islands 65.65 65.65 65.65 196.95 23,540.7

Somalia 65.65 65.65 65.65 196.95 23,540.7

South Sudan 65.65 65.65 65.65 196.95 23,540.7

Tonga 65.65 65.65 65.65 196.95 23,540.7

Tuvalu 65.65 65.65 65.65 196.95 23,540.7

Guinea Bissau 65.65 65.65 65.65 196.95 23,540.7

Total 400,192

38

PART III: ENDORSEMENT/APPROVAL BY GEF OPERATIONAL FOCAL POINT(S) AND GEF AGENCY(IES)

A. RECORD OF ENDORSEMENT OF GEF OPERATIONAL FOCAL POINT(S) ON BEHALF OF THE GOVERNMENT(S):

The Operational Focal Point endorsement letter(s) are attached to this Enabling Activity request.

NAME POSITION MINISTRY DATE

Mrs. Rochelle Newbold DirectorThe BEST Commission, Ministry of the Environment and Housing, The Bahamas

10/10/2019

Mr. Youssouf Elamine Y. Mbechezi General Director General Directorate of Environment

and Forests – Comoros Union 07/03/2019

Mr. Wordy Hashim Abdullahi Director General Environment, Forest and Climate

Change Commission - Ethiopia 27/03/2019

Mr. João Raimundo Lopes Senior Technical Advisor

Secretariat of State for Environment - Guinea-Bissau 15/03/2019

Mrs. Nenenteiti Teariki Ruatu

Director, Environment and Conservation Division

Ministry of Environment, Lands and Agricultural Development - Kiribati 11/04/2019

Stanley Motsamai Damane Director Ministry of Tourism, Environment and

Culture - Lesotho 14/10/2019

Mr. Miruza Mohamed Director & GEF OFP Ministry of Environment - Maldives 03/03/2019Mr. Haden T. Talagi Director Ministry of Natural Resources - Niue 15/03/2019

Mr. Gunther Joku GEF OFP Department of Environment and Conservation- Papua New Guinea 06/02/2019

Ms. Lavern QueeleyDirector, Department of Economic Affairs and PSIP

Ministry of Sustainable Development - Saint Kitts and Nevis 11/03/2019

Mr. Chanel Iroi Undersecretary - Technical

Ministry of Environment, Climate Change, Disaster Management and Meteorology - Solomon Islands

01/04/2019

Mr. Ahmed Yusuf Ahmed Director General Directorate of Environment - Somalia 08/03/2019

Mr. David Batali Oliver Director for Pollution Control

Ministry of Environment - South Sudan 03/04/2019

Mr. Joao Carlos Soares Director GeneralMinistro do Coordenador dos Assuntos Economicos (MCAE) - Timor-Leste

02/04/2019

Mr. Paula MA'U Chief Environment Officer

Ministry of Meteorology, Energy, Information, Disaster Management, Environment, Climate Change and Communications - Tonga

26/03/2019

Mr. Soseala Tinilau Director Department of Environment - Tuvalu 22/03/2019

Mr. Abdulqader AlkharrazChairman of Environment Protection Authority

Ministry of Water and Environment - Yemen 18/03/2019


39

B. CONVENTION PARTICIPATION

CONVENTION DATE OF RATIFICATION/ ACCESSION NATIONAL FOCAL POINT

UNFCCC 29/03/1994 Ms. Rochelle W. Newbold - The Bahamas

UNFCCC 31/10/1994 Mr. Abdou Salami Mihidjay - Comoros Union

UNFCCC 05/04/1994 Mr. Fekadu Beyene Aleka - Ethiopia

UNFCCC 27/10/1995 Mr. Viriato Luis Soares Cassama - Guinea-Bissau

UNFCCC 07/02/1995 Mr. Choi Being Yeeting - Kiribati

UNFCCC 07/02/1995 Ms. Mabafokeng Felesiah Mahahabisa - Lesotho

UNFCCC 09/11/1992 H.E. Mr. Abdullahi Majeed - Maldives

UNFCCC 28/02/1996 Mr. Richard Hipa - Niue

UNFCCC 16/03/1993 Ms. Gwendoline Sissiou - Papua New Guinea

UNFCCC 07/01/1993 Ms. June Hughes - Saint Kitts and Nevis

UNFCCC 28/12/1994 Mr. Chanel Iroi - Solomon Islands

UNFCCC 11/09/2009 Mr. Mahdi Mohammed Gulaid - Somalia

UNFCCC 17/02/2014 Mr. John Payai Manyok - South Sudan

UNFCCC 10/10/2006 Mr. Adao Soares Barbosa - Timor-Leste

UNFCCC 20/07/1998 Mr. Paula Pouvalu Ma'u - Tonga

UNFCCC 26/10/1993 Ms. Pepetua Election Latasi - Tuvalu

UNFCCC 21/02/1996 Mr. Abdulqader Mohammed Al-Kharraz - Yemen


40

PART IV: ANNEXES

The Enabling Activities request annexes may be found in the following pages.


41

ANNEX A: PROJECT RESULTS FRAMEWORK

Project Objective Objective level Indicators

Baseline Targets and Monitoring Milestones

Means of Verification Assumptions & Risks

UNEP MTS reference

Provide targeted financial and technical support to prepare new or updated and improved TNAs, including TAPs, for prioritized technologies that reduce greenhouse gas emissions, support adaptation to climate change, and are consistent with Nationally Determined Contributions and national sustainable development objectives

Indicator A: Number and status of TNAs and TAPs

Indicator B: Number of TAP follow-up project concepts with letters of intents from the Government and financiers

Indicator C: Number of countries that have integrated gender considerations into their TNA and TAPs

Baseline A: 0 Second Generation TNAs or TAPs endorsed by governments

Baseline B: 0 technology project concepts available from TAPs

Baseline C: 0

Target A: 17 Second Generation TNAs and TAPs endorsed by governments (by end of project)

Target B: 17 project concepts prepared based on TAPs (by end of project)

Target C: At least 15 countries

Indicator A: TNA reports, including TAPs

Indicator B: Letters of intent from government, donors and/or financiers to support implementation of project concepts based on TAPs

Indicator C: evidence of gender inclusion / mainstreaming in the TNAs and TAPs

Reporting and final evaluation requested by UNEP

Competing national and political priorities

UNEP Medium Term Strategy 2020-2021

Programme of Work 2020-2021’s Sub-programme 1 Climate Change objective: Countries increasingly make the transition to low-emission economic development, and enhance their adaptation and resilience to climate change


42

Project Outcome Outcome Indicators Baseline Targets and Monitoring Milestones

Means of Verification Assumptions & Risks

MTS Expected Accomplishment

Outcome 1: TNA process conducted by national stakeholders, and TNA/TAP results are available to be integrated into national planning processes and to be funded and implemented by interested stakeholders.

Indicator 1: Number of national institutional structures for TNA established, operational and strengthened to conduct the TNA-TAP process

Indicator 2: Number of national TNA/TAP dissemination and donor engagement workshops with prepared advocacy materials for policy makers, donors and investors

Baseline 1: 0 national institutional structures for TNA

Baseline 2: 0 national dissemination and donor engagement workshops with prepared advocacy materials

Target 1: 17 national institutional structures for TNA established, operational and strengthened to conduct the TNA-TAP process (by end of project)

Target 2: 17 national dissemination and donor engagement workshops, with at least 30% female participants each(by end of project)

Indicator 1: Nominations of national TNA coordinators, contracts of national experts, official government circulars establishing the national TNA committees, lists of members of TNA working groups12 regional TNA/TAP capacity building workshop reports and feedback questionnaires and 34 national TNA/TAP capacity building workshop reports

Indicator 2: 17 Reports from national TNA teams on national dissemination events (including lists of participants disaggregated by gender, letter of submission of projects from TNA/TAP to funders)

Assumptions:-Adequate national support to the process

- Interested and active stakeholders

-Access to data and relevant information

-Availability of finance

Risks:- Inadequate human resources and partnerships

- Inactive stakeholders in countries

-Low data availability and access to data

-Competing national priorities

Expected Accomplishment (b) Countries increasingly adopt and/or implement low greenhouse gas emission development strategies and invest in clean technologies


43

Project Outputs PoW Output Output 1: Tools, methodologies and capacity building packages are further developed and applied to support the implementation of the TNA/TAP process

Sub-Output 1.1: Methodologies, guidance and tools for technology needs assessments and action plans covering both adaptation and mitigation aspects are updated / developed

Sub-Output 1.2: Strengthened national capacities for conducting the TNA/TAP process Sub-Output 1.3: Information, lessons learnt and results generated through TNA/TAP processes are disseminated and communicated

Output 3: Technical support provided to countries to develop tools, plans and policies for low-emission development.

Output 2: TNA and TAP reports, including project ideas, with national consensus on concrete actions for implementation Sub-Output 2.1: TNA reports are developed/updated and approved Sub-Output 2.2: Barrier Analysis & Enabling Framework reports are developed and approved Sub-Output 2.3: TAP reports (including project ideas) are developed and approved Sub-Output 2.4: Project concepts are developed and approved Sub-Output 2.5: TNA/TAP results and communicated and disseminated

Output 3: Technical support provided to countries to develop tools, plans and policies for low-emission development.


44

ANNEX B: RESPONSE TO PROJECT REVIEWS

Include responses to project reviews from GEF Secretariat and GEF Agencies, responses to comments from Council at work program inclusion and responses to comments from the Convention Secretariat and STAP at PIF.

GEF Sec review sheet

Technology Needs Assessments (TNA) Phase IV

GEF Secretariat Review for Full Sized ProjectBasic Information

GEF ID10171CountriesGlobal (Kiribati, Comoros, Ethiopia, Guinea-Bissau, Maldives, Niue, Papua New Guinea, Solomon Islands, Somalia, South Sudan, St. Kitts and Nevis, Timor Leste, Tonga, Tuvalu, Yemen)

Project TitleTechnology Needs Assessments (TNA) Phase IVGEF Agency(ies)UNEP

Agency IDUNEP: 01702GEF Focal Area(s)Climate Change

Program ManagerKatya Kuang-Idba

Non- Expedited Enabling Activity req (PIF)Part 1: Project Information

Focal area elements

Is the enabling activity aligned with the relevant GEF focal area elements in Table A, as defined by the GEF 7 Programming Directions?Secretariat Comment at PIF/Work Program Inclusion

GEFSEC, 4/16/2019 - Yes. The project is aligned with CCM-EA under the CCM focal area of the GEF-7 Programming Directions.

Agency Response

Project description summary


45

https://gefportal.worldbank.org/App/

Are the components in Table B and as described in the PIF sound, appropriate, and sufficiently clear to achieve the project objectives?Secretariat Comment at PIF/Work Program Inclusion

GEFSEC, 4/16/2019 - Yes, the project is structured around one single component that aims to deliver one outcome - Technology Needs Assessment (TNA) processes conducted by national stakeholders in the 15 participating countries, and TNA/TAP results available to be integrated into national planning processes and to be funded and implemented by interested stakeholders.

Agency Response

Co-financing

Are the indicative expected amounts, sources and types of co-financing adequately documented and consistent with the requirements of the Co-Financing Policy and Guidelines, with a description on how the breakdown of co-financing was identified and meets the definition of investment mobilized?Secretariat Comment at PIF/Work Program Inclusion

GESFSEC, 4/16/2019 - Yes. Table C shows indicative co-financing, which is classified by type and as recurrent expenditure.

Agency Response

GEF Resource Availability

Is the proposed GEF financing in Table D (including the Agency fee) in line with GEF policies and guidelines?Secretariat Comment at PIF/Work Program Inclusion

GEFSEC, 4/15/2019 - Yes. The project includes 15 LDCs and SIDS, which are eligible to finance their TNAs through the CCM set-aside.

Agency Response

Are they within the resources available from (mark all that apply):

The STAR allocation?Secretariat Comment at PIF/Work Program Inclusion

NA

Agency Response


46

The focal area allocation?Secretariat Comment at PIF/Work Program Inclusion

NA

Agency Response

The LDCF under the principle of equitable accessSecretariat Comment at PIF/Work Program Inclusion

NA

Agency Response

The SCCF (Adaptation or Technology Transfer)?Secretariat Comment at PIF/Work Program Inclusion

NA

Agency Response

Focal area set-aside?Secretariat Comment at PIF/Work Program Inclusion

GEFSEC, 4/15/2019 - Yes. The project includes 15 LDCs and SIDS, which are eligible to finance their TNAs through the CCM set-aside.

Agency Response

Is the financing presented adequate and demonstrate a cost-effective approach to meet the project objectives?Secretariat Comment at PIF/Work Program Inclusion

GEFSEC, 4/16/2019 - Not quite. There is no information supporting how the proposed activities are cost effective in comparison to alternatives.


47

Recommended action: Please briefly describe how the proposed activities are proven to be cost effective in comparison to feasible alternatives.

GEFSEC, 4/29/2019 - Cleared. The agency has provided adequate details on the basis for cost effectiveness, which is characterized by the umbrella approach and its coordination through regional centres.

Agency Response UN Environment, 4/25/2019 - Comment taken. This has been further elaborated in section “D. DESCRIBE, IF POSSIBLE, THE EXPECTED COST-EFFECTIVENESS OF THE PROJECT” of the EA request. On the global level, the UNEP DTU Partnership (UDP) is an important partner to the project because it is a recognized authority under the UNFCCC and it is the architect behind the guidance that is developed for Technology Needs Assessments. For cost-effectiveness purposes, rather than having UDP organize global workshops, the project contracts the Regional Centres to arrange and conduct the regional workshops and events. This approach has proven to be very efficient: while building the regional hubs’ capabilities (which serve as the regional help desk for countries undergoing the TNA process), the project can leverage their networks/connections within the countries and rely on their cultural sensitiveness within the different regions. In addition, over the past TNA phases, the countries have highly valued these peer exchanges on a regional level. In this next phase IV, the TNA programme will explore new approaches to further enhance peer to peer exchanges and learning as an autonomous way of building national capacity to do Technology Needs Assessments. This will come out of the on-going discussions on the Enabling Activity programme, on regional networks. As far as other alternatives are concerned, if we compare to the Enabling Activities project, the TNA is more cost effective. Indeed, the Enabling Activities approach is built around a US$ 10 million umbrella project (providing international technical support) alongside stand-alone country projects of US$ 500,000 each. In the case of the TNA project, both the country activities and the international technical support are all included under the US$ 270,000 allocation that each country receives. Finally, the ultimate purpose of the TNA projects is to identify priority technologies to attract investment in the different countries. In this instance, the TNAs are recognized as an efficient and good tool to prepare pipelines of investments for GCF proposals.

Part 2: Enabling Activity Justification

Background and Context.

Are the achievements of previously implemented enabling activities cited since the country(ies) became a party to the Convention?Secretariat Comment at PIF/Work Program Inclusion

GEFSEC, 4/16/2019 - The PIF submission does refer to lessons learned, but more detail regarding specific lessons and how they are applied to this proposal would be appreciated. For example, the PIF states that "the continuation of the three previous phases of TNAs, this project benefits from lessons learnt and best practices from previous experience" and that this is applied to three specific areas - national trainings, P2P exchange, and national events and roundtables, but does not provide specific lessons and their application.

Recommended action: Please briefly expound on the idea introduced above regarding lessons learned from the previous phases of this initiative and how it has been applied to the design of the current phase.

GEFSEC, 4/29/2019 - Cleared. The Secretariat appreciates the additional detail provided on the interesting lessons learned from the first three phases of the global support project and how they've informed the fourth phase.


48

Agency Response UN Environment, 4/25/2019 - Comment taken. Main lessons learned from the previous phases have been further elaborated under section “A.2) Baseline scenario and any associated baseline projects” of the EA request. These main lessons learned are the following: - Even though the TNA project seeks to address a highly complex set of issues (climate change) with limited resources, TNA Phase II and III are showing that the TNA/TAP process is receiving stronger attention from decision makers in governments since (i) countries had to come up with their NDCs, and (ii) the CTCN and the green climate fund became operational. The TNA is seen as a good tool (i) to identify the technologies a country needs to implement its NDC, (ii) to generate technical assistance requests for CTCN and (iii) to create a pipeline of projects for GCF and other funding sources. It is to be noted however that a number of countries – especially LDCs - are not sufficiently equipped to prepare funding requests after the TNA/TAP process has been completed, and many of them need improved data and analysis to confirm the feasibility and bankability of the prioritized climate technology actions included in their TAPs. - In many countries, national capacity is rather low. Capacity building and training is critical to ensure the process results in quality outputs for the countries. This is even more important since the TNA Phase III project, where participating countries are essentially LDCs and SIDSs (as for the TNA Phase IV). For this reason, additional trainings are planned and offered to countries now (i.e. since TNA Phase III) with one additional regional training and a training at national level on the tools used for the TNA/TAP process. In addition, participating countries strongly value peer-to-peer exchange which is now further enhanced since TNA Phase III project, with the inclusion of an additional regional training workshop bringing the countries together.

- The engagement of the financial/funding community, private sector and the banking and investments sectors remains a challenge despite the efforts made by the TNA countries to bring these stakeholders on board. For private sector and investors, the challenge is that engagement depends on their business interests and therefore they can be best engaged once the priority technologies have been identified. They can then provide valuable inputs, notably for the barrier analysis and development of the TAP. Donors and development partners participate in the TNA/TAP process but there is a need for more emphasis by TNA country governments on disseminating and “selling” their climate technology priorities to their in-country funding community at the end of the TNA/TAP process.

Goals, Objectives, and Activities.

Is the project framework sufficiently described?Secretariat Comment at PIF/Work Program Inclusion

GEFSEC, 4/16/2019 - Yes. This is the fourth phase of the TNA global support project. The project will provide participating countries with targeted financial and technical support to prepare new or updated and improved TNAs, including TAPs, for prioritized technologies that reduce GHG emissions, support adaptation to climate change, and are consistent with Nationally Determined Contributions and national sustainable development objectives.The structure of the project is sufficiently detailed at this stage of project development.

Agency Response

Stakeholders.Does the PIF include indicative information on Stakeholders engagement to date? If not, is the justification provided appropriate? Does the PIF include information about the proposed means of future engagement?


49

Secretariat Comment at PIF/Work Program Inclusion

GEFSEC, 4/15/2019 - Yes. The PIF submission includes an indicative matrix of stakeholders to be consulted, and indicates that national stakeholders will be identified, consulted and brought on-board when project execution begins. The submission indicates that the primary task of national TNA teams will be to draw-up a specific list of stakeholders for consultation based on the priority sectors from their NDC selected for their TNA/TAP process.

Agency Response

Gender equality and women’s empowerment.Is the articulation of gender context and indicative information on the importance and need to promote gender equality and the empowerment of women, adequate?Secretariat Comment at PIF/Work Program Inclusion

GEFSEC, 4/16/2019 - Yes. Gender analysis on technology transfer is being integrated in TNA guidance tools and methodologies in the current TNA phase III project and a specific guidebook for developing a gender-responsive TNA has been developed. This will be further improved and applied into the Phase IV project. In addition, gender considerations will be taken into account in the engagement of various stakeholders in the process and in the identification of key decision-makers, target users and national champions.

Additionally, the project development team will prepare a Gender Action Plan to detail how gender equality and women empowerment will be mainstreamed in the TNA Phase IV project. This Gender Action Plan will be included in the CEO endorsement document.

Agency Response

Part III. Endorsement/ Approval by OFP

Country endorsement

Has the project been endorsed by the country’s GEF Operational Focal Point and has the name and position been checked against the GEF database?Secretariat Comment at PIF/Work Program Inclusion

GEFSEC, 4/16/2019 - Yes. The submission includes 15 LOEs signed by the OFPs of the respective participating countries.

Agency Response

Response to Comments


50

Are all the comments adequately responded to? (only as applicable) Gef Secretariat comments?GEF Secretariat Comment

GEFSEC, 4/16/2019 - Not yet.

GEFSEC, 4/29/2019 - The agency has mostly addressed the Secretariat's comments, however, we have additional questions regarding the visibility of additional requests for financing for TNAs in the GEF-7 period. This is related to ensuring equitable access to all countries who may wish to finance a TNA, in the context of financing several countries included in this phase of the project which already have TNAs.

Additionally, further detail regarding the incremental cost reasoning for the four countries which already have TNAs (Comoros, Ethiopia, Saint Kitts & Nevis, and Niue) and some specific results and outcomes from these cases would be highly appreciated.

GEFSEC, 5/2/2019 - Cleared. The Agency has provided justification for inclusion for the four countries which already have TNAs, which is listed below in the agency response - none of these countries have barrier analyses nor TAPs.

Agency Response UN Environment, 05/01/2019

The countries listed above have “old generation” TNAs with no barrier analysis and no TAPs (which was the case also with most of the countries that were supported under TNA Phase I, Phase II and now Phase III):• The Ethiopia TNA dates from 2007, it is the “first generation” of TNAs and has no barrier analysis and no Technology Action Plan (the country was originally part of TNA Phase I, but withdrew).• Saint Kitts & Nevis’ TNA is also from 2007 and a “first generation”, meaning no barrier analysis and no TAP• Comoros’ TNA is from 2006, no barrier analysis and no TAP• Niue’s TNA is from 2003, no barrier analysis and no TAP

A paragraph has been added in the updated EA request at the end of section “A.2) Baseline scenario and any associated baseline projects” to clarify this matter.

Since TNA Phase I (2009), UN Environment has been supporting countries under Poznan Strategic Programme in developing the “new generation” of TNAs which include the barrier analysis and the TAP. Countries that had done their “first generation” of TNAs were eligible by the GEF to join the new Global TNA project. Section A.2) Baseline scenario and any associated baseline projects of the EA request includes a table which lists all the countries that have benefited from the second generation TNAs (i.e. Phase I, II and III).

Indeed, on the UNFCCC website (http://unfccc.int/ttclear/tna/reports.html), several countries have more than one technology needs assessment listed, for example: • Mauritania, which was part of the TNA Phase II global project (completed in 2018) had also performed a TNA in 2003;• Thailand, which was part of the TNA Phase I global project (completed in 2013) had also completed a TNA in 2000.

The history of TNAs is as follows: 1. Developing country parties have been conducting TNAs since COP7. The Global Environment Facility (GEF) initially funded 92 non-Annex I parties’ TNAs, 78 supported by the United Nations Development Programme (UNDP) and 14 by UN Environment. 2. Later, in response to Decision 4/CP.13 (Development and transfer of technologies under the Subsidiary Body on Implementation) which was adopted at COP 13 in Bali (Indonesia), the GEF created a strategic programme to scale up the level of investment for technology transfer and proposed a new funding window to support TNAs. 3. In November 2009, UN Environment started the implementation of the new GEF-financed Global TNA project (TNA Phase I) and introduced a new feature in the process (with a view to facilitate the implementation of follow-up actions): the Technology Action Plan (TAP), an action plan consisting of a group of measures to address identified barriers to the development and transfer of a


51

prioritized technology. In addition, beneficiary countries also develop preliminary project concepts of concrete actions for the implementation of their prioritized technologies. 4. TNA Phase I ended in April 2013: out of the targeted 36 countries, 30 countries completed their TNAs and TAPs (including project ideas) and 2 countries only completed their TNAs. TNA Phase II ended in October 2018: out of the 27 target countries, 22 countries completed their TNAs and TAPs (including project ideas). TNA Phase III started last year and covers 23 countries.

Finally, at this stage, UN Environment does not intend to approach the GEF with another TNA request under the GEF-7 cycle. This is supported by the following elements:• When we initiated the development of the EA request for TNA Phase IV, we reached out to all the LDCs and SIDS that had not yet benefited from the “second generation” TNA. On top of the 15 countries included in the current proposal, there were a few additional countries that expressed interest but did not send their Letter of Endorsement on time (i.e. Bahamas, Cabo Verde and Angola). • We have only reached out to a few countries that were not LDCs and SIDS, because they had approached us in the past to ask for joining the TNA project, but there may be others (i.e. non-SIDS and non-LDC) that want to conduct a TNA with their STAR allocation.• Finally, there are several countries that expressed their desire to update their TNA but we have not yet reached out to them as we think we need to reflect a bit first on what updating the TNAs would entail – the project’s strategy would be different than the current one.

Other Agencies comments?Secretariat Comment at PIF/Work Program Inclusion

NA

Agency Response PIF Updated. PIF Updated.

GEFSEC DECISION

RECOMMENDATION

Is CEO clearance/approval recommended?Secretariat Comment at PIF/Work Program Inclusion

GEFSEC, 4/16/2019 - Not yet. Please refer to the flagged items and resubmit for consideration.

GEFSEC, 4/29/2019 - Not yet. Please refer to the item directly above regarding the four countries which already have TNAs, as well as any visibility of forthcoming TNA requests during GEF-7.

GEFSEC, 5/2/2019 - Cleared. The agency has clarified that it does not foresee additional requests for TNAs during GEF-7, and that the participating countries were chosen through and open call for interest to those LDCs and SIDs who had not yet undertaken TNAs.

Additional Comments

Additional recommendations to be considered by Agency at the time of CEO endorsement/approval. GEF 7 Enabling Activity Template- March 15, 2019 (revised)

52

Secretariat Comment at PIF/Work Program Inclusion

Review Dates

PIF Review Agency Response

First Review

Additional Review (as necessary)





53

US comment

10171 Technology Needs Assessments (TNA) Phase IV; Global, Ethiopia, Comoros, Guinea-Bissau, Maldives, Niue, Papua New Guinea, Solomon Islands, Somalia, South Sudan, St. Kitts And Nevis, Timor Leste, Tonga, Tuvalu, Yemen

The United States recommends the project take into consideration greater engagement with relevant higher education institutions/universities during the design and implementation of the project.

Response: UDP is part of the Technical University of Denmark and works closely with the RCs during the implementation of the project. The RCs are all part of the research community in the respective regions and internationally. The RCs include University of Cape Town (Africa), University of West Indies (in the Caribbean), and University of South Pacific (in the Pacific Islands). At country level, the TNA consultants are often also lecturers or researchers in the local universities, and universities and research institutions are generally part of national TNA working groups. In TNA Phase III, a majority of the local consultants are affiliated to a local university. For example the two consultants for Malawi are affiliated to respectively the University of Malawi and the Lilongwe University of Agriculture and Natural Resources. The linkages with the national and regional research communities will continuously sought to be strengthened throughout project implementation. This has been further elaborated upon in the EA request document in the section on Stakeholders, B.2.

German comments

Climate Change 38. Global (Ethiopia, Comoros, Guinea-Bissau, Maldives, Niue, Papua New Guinea, Solomon Islands, Somalia, South Sudan, St. Kitts And Nevis, Timor Leste, Tonga, Tuvalu, Yemen): Technology Needs Assessments (TNA) Phase IV. 4,050,000 USD, UNEP, GEF-ID = 10171. Germany welcomes this proposal, which includes local stakeholder engagement, robust evaluation processes and aims in general to enhance both, NDC implementation and NDC update. At the same time, Germany has the following comments that should be addressed in the next phase of finalizing the project proposal: Suggestions for improvements to be made during the drafting of the final project proposal:

1. While Germany appreciates that the project is aligned with the priorities of the Paris Agreement by providing targeted financial and technical support to prepare new or updated and improved Technology Needs Assessments (TNAs) including Technology Action Plans (TAPs), the proposal output 2) should elaborate more clearly on which technologies are included in the concrete implementation plans.

2. In this context, Germany underlines the importance of the technologies being in line with the aims of the Paris Agreement. Therefore, Germany recommends to clearly define that the technology plans are aimed at enabling fast decarbonization, do not include any fossil fuels, and focus on renewable energies and energy efficiency.

Response:

1. The technologies included by countries in the concrete implementation plans vary between countries. Analyses of sectors and technologies prioritized in past TNAs and TAPs show that, for climate mitigation the energy sector was singled out as a primary concern by 86% of the countries. In second place was the transport sector, which was a priority for 32% of the countries. In all countries the majority of mitigation technologies prioritised were related to electricity generation looking towards solar and hydro power as the most important


54

technologies to enable the countries to work towards lower CO2 emissions. Within the transport sector, the highest priority technologies were electric vehicles, traffic management and public transportation.

When it comes to adaptation, agriculture and water were at the top of the list, prioritized by 86% and 82% of the countries, respectively. In the agriculture sector, crop diversification and new varieties were at the top priorities, including the introduction of climate resilient crops. Water storage and harvesting received top priority in the water sector, including rainwater collection from rooftops, storage hardware, and surface water catchments. For a full overview of the sectors and technologies prioritised by countries in their TNAs and TAPs, please see When it comes to adapting to the changes in the climate that already plagues many developing countries, agriculture and water were at the top of the list, prioritized by 86% and 82% of the countries, respectively. In the agriculture sector, crop diversification and new varieties were at the top priorities, including the introduction of climate resilient crops. Water storage and harvesting received top priority in the water sector, including rainwater collection from rooftops, storage hardware, and surface water catchments.

For full information on country priorities, please visit https://tech-action.unepdtu.org/countries-technologies/

2. The clearly stated goal of any TNA and TAP is to identify technologies that reduce GHG emissions and/or reduce vulnerability to climate change. For example, a key criteria category when countries prioritize their technologies for their TNAs and TAPs is the climate related criteria. These include the ability to reduce directly GHG emissions as well as the potential of the technology to reduce vulnerability and build climate resilience. more information on criteria can be found here https://tech-action.unepdtu.org/wp-content/uploads/sites/2/2019/05/final-mca-guidance-mitigation-september2015-1.pdf. Solar and hydro power are the most prioritized technologies amongst the countries in their TNAs and TAPs to enable them to work towards lower CO2 emissions. The approach for identifying and using appropriate criteria to achieve low emission climate resilient development paths is part of the methodology and training components for the first steps in the TNA process.

Canada comments

Technology Needs Assessments (TNA) Phase IV (GEF ID 10171)

Technology transfer is preferred to development. The cost of the research and innovation component of technology development is high and there is no effective mechanism in place to address issues related to technology development and transfer.

The priority sectors for technology transfer have been identified through various studies and are included in NDC. These technologies need to be evaluated based on national criteria before being deployed locally.

Any transferred technology needs to be well managed for national benefit, and also to ensure it does not displace locally available technology.

Where relevant technological innovations are locally available, the priority should be to incubate and refine them with the goal of upscaling or replicating them, as the case may be.

There is also a need to build local technical capacity in the design and development of alternative technologies. This may include capacity in resource assessment, system design and development, and installation and service provision at national and sub-national/regional levels.

Considering the current significant level of unemployment in Ethiopia, transfer of green technologies should also be considered as an opportunity for job creation and youth employment.

Need assessments could help to develop competitive green industries, provide an overview and estimate of the market opportunity for climate and clean technology business and identify the characteristics of these markets most accessible to local firms and to small and medium enterprises (SMEs) in particular.

The needs assessment could also serve to identify which parts of the value chain are already being targeted by local industry and provide a set of actions that can be considered to build up local green industries.


55

https://tech-action.unepdtu.org/wp-content/uploads/sites/2/2019/05/final-mca-guidance-mitigation-september2015-1.pdf

https://tech-action.unepdtu.org/wp-content/uploads/sites/2/2019/05/final-mca-guidance-mitigation-september2015-1.pdf

https://tech-action.unepdtu.org/countries-technologies/

Response:

The technologies identified and prioritized in countries’ TNA reports are selected due to nationally driven and decided criteria. Besides criteria related to GHG emission reduction potential and ability to increase resilience to climate change impacts, countries use criteria related to the costs of the technology and social-, economic-, and environmental development implications. Some countries specify sub-criteria like ‘biodiversity conservation’ and ‘contribution of the technology to protect and sustain ecosystem services’ and the ‘social impact’ criterion is often made more specific and evaluated against indicators such as impact on health, job creation and community involvement. When countries elaborate TAPs, often the local capacity building aspects, including local production, ability to operate, maintain and operate are identified as key areas to be strengthened as part of TAP implementation. It should also be emphasized here, that very often countries choose to focus on locally developed technologies that have potentials to increase caption of local value chains.

During the second stage of a TNA process, the barrier analysis and enabling frameworks identification, countries carry out market mapping and identification of stakeholders along the local/national value chains and as part of the technology innovation systems. This of course also includes local industry and technology providers. UDP, the Executing Agency of the Global TNA project, has specific expertise5 in understanding how local private companies can increase their share of the global value chain for specific climate technologies – and UDP implements projects to support local stakeholders in doing so – in order to maximize local job creation and reduce investment project costs. This knowledge is also being utilized and communicated through the TNA methodology and capacity building workshops provided by UDP.

5 See for example the Danida funded TEMARIN projectin Kenya and Uganda https://unepdtu.org/project/strengthening-value-chains-and-capacities-for-expanding-clean-energy-markets-in-kenya-and-uganda/


56

https://unepdtu.org/project/strengthening-value-chains-and-capacities-for-expanding-clean-energy-markets-in-kenya-and-uganda/

https://unepdtu.org/project/strengthening-value-chains-and-capacities-for-expanding-clean-energy-markets-in-kenya-and-uganda/

ANNEX C: STATUS OF UTILIZATION OF PROJECT PREPARATION GRANT (PPG)

Provide detailed funding amount of the PPG activities financing status in the table below:

PPG Grant Approved at PIF: US$ 0

Project Preparation Activities ImplementedGETF/LDCF/SCCF Amount (US$)

Budgeted Amount

Amount Spent to date

Amount Committed

Total

Not applicable – no PPG was requested for this project.


57

ANNEX D: CALENDAR OF EXPECTED REFLOWS (IF NON-GRANT INSTRUMENT IS USED)

Provide a calendar of expected reflows to the GEF/LDCF/SCCF Trust Funds or to your Agency (and/or revolving fund that will be set up) – if applicable.

Not applicable – no non-grant instrument is used in this project.


58

ANNEX E: PROJECT MAP(S) AND COORDINATES

Map of all TNA Phase IV Countries:


59

Geo-coordinates of the capital cities of the 17 TNA Phase IV countries:

Country Capital City Latitude Longitude

Bahamas Nassau N 25° 3' 29'' W 77° 20' 35''

Comoros Union Moroni S 11° 42' 7'' E 43° 15' 18''

Ethiopia Addis Ababa N 9° 1' 29'' E 38° 44' 48''

Guinea-Bissau Bissau N 11° 51' 48'' W 15° 35' 51''

Kiribati Tarawa N 1° 19' 40'' E 172° 58' 37''

Lesotho Maseru S 29° 19' 0'' E 27° 29' 0''

Maldives Malé N 4° 10' 30'' E 73° 30' 33''

Niue Alofi S 19° 3' 16'' W 169° 55' 3''

Papua New Guinea Port Moresby S 9° 28' 38'' E 147° 9' 3''

Saint Kitts and Nevis Basseterre N 17° 17' 43'' W 62° 43' 30''

Solomon Islands Honiara S 9° 26' 0'' E 159° 57' 0''

Somalia Mogadishu N 2° 2' 13'' E 45° 20' 37''

South Sudan Juba N 4° 51' 5'' E 31° 34' 56''

Timor-Leste Dili S 8° 33' 31'' E 125° 34' 25''

Tonga Nuku'alofa S 21° 8' 21'' W 175° 12' 6''

Tuvalu Funafuti S 8° 31' 27'' E 179° 11' 39''

Yemen Sana'a N 15° 21' 17'' E 44° 12' 24''


60

ANNEX F: GEF 7 CORE INDICATOR WORKSHEET

Core Indicator 11

Number of direct beneficiaries disaggregated by gender as co-benefit of GEF investment (Number)

Number Expected Achieved

PIF stage Endorsement MTR TEFemale 375 425

Male 600 680Total 975 1105


61

ANNEX G: GEF PROJECT TAXONOMY WORKSHEET

Include the GEF 7 Taxonomy Worksheet to list down the taxonomic information by ticking the most relevant keywords/topics/themes that best describe this project.

Level 1 Level 2 Level 3 Level 4Influencing

models

Transform policy and regulatory environments

Strengthen institutional capacity and decision-making

Convene multi-stakeholder alliances

Demonstrate innovative approaches

Deploy innovative financial instruments

Stakeholders Indigenous Peoples Private Sector Capital providers Financial intermediaries and

market facilitators

Large corporations SMEs Individuals/Entrepreneurs Non-Grant Pilot Project Reflow Beneficiaries Local Communities Civil Society Community Based Organization Non-Governmental Organization Academia Trade Unions and Workers

Unions

Type of Engagement Information Dissemination Partnership Consultation Participation

CommunicationsAwareness RaisingEducationPublic CampaignsBehavior Change

Capacity, Knowledge and Research

Enabling ActivitiesCapacity

DevelopmentKnowledge Generation and ExchangeTargeted ResearchLearning

Theory of ChangeAdaptive ManagementIndicators to Measure Change

Innovation Knowledge and

Learning


62

Level 1 Level 2 Level 3 Level 4Knowledge Management

Innovation Capacity Development Learning Stakeholder

Engagement Plan

Gender Equality Gender

Mainstreaming

Beneficiaries Women groups Sex-disaggregated indicators Gender-sensitive indicators Gender results areas

Access and control over natural resources

Participation and leadership Access to benefits and services Capacity development Awareness raising Knowledge generation

Focal Areas/Theme

Integrated Programs

Commodity Supply Chains (Good

Growth Partnership)

Sustainable Commodities

Production Deforestation-free Sourcing Financial Screening Tools

High Conservation Value

Forests High Carbon Stocks Forests Soybean Supply Chain Oil Palm Supply Chain Beef Supply Chain Smallholder Farmers Adaptive Management

Food Security in Sub-Sahara

Africa

Resilience (climate and shocks) Sustainable Production Systems Agroecosystems Land and Soil Health Diversified Farming

Integrated Land and Water

Management Smallholder Farming Small and Medium Enterprises Crop Genetic Diversity Food Value Chains Gender Dimensions Multi-stakeholder Platforms

Food Systems, Land Use and

Restoration

Sustainable Food Systems Landscape Restoration

Sustainable Commodity

Production

Comprehensive Land Use

Planning Integrated Landscapes Food Value Chains Deforestation-free Sourcing Smallholder Farmers Sustainable Cities Integrated urban planning


63

Level 1 Level 2 Level 3 Level 4 Urban sustainability framework Transport and Mobility Buildings Municipal waste management Green space Urban Biodiversity Urban Food Systems Energy efficiency Municipal Financing

Global Platform for Sustainable

Cities Urban Resilience Biodiversity Protected Areas and Landscapes Terrestrial Protected Areas

Coastal and Marine Protected

Areas Productive Landscapes Productive Seascapes

Community Based Natural

Resource Management Mainstreaming

Extractive Industries (oil, gas,

mining)

Forestry (Including HCVF and

REDD+) Tourism Agriculture & agrobiodiversity Fisheries Infrastructure

Certification (National

Standards)

Certification (International

Standards) Species Illegal Wildlife Trade Threatened Species

Wildlife for Sustainable

Development Crop Wild Relatives Plant Genetic Resources Animal Genetic Resources Livestock Wild Relatives Invasive Alien Species (IAS) Biomes Mangroves Coral Reefs Sea Grasses Wetlands Rivers Lakes Tropical Rain Forests Tropical Dry Forests Temperate Forests Grasslands Paramo Desert Financial and Accounting

Payment for Ecosystem

Services

Natural Capital Assessment and

Accounting Conservation Trust Funds Conservation Finance

Supplementary Protocol to the

CBD

Biosafety GEF 7 Enabling Activity Template- March 15, 2019 (revised)

64

Level 1 Level 2 Level 3 Level 4

Access to Genetic Resources

Benefit Sharing Forests

Forest and Landscape

RestorationREDD/REDD+

Forest Amazon Congo Drylands Land Degradation Sustainable Land Management

Restoration and Rehabilitation

of Degraded Lands Ecosystem Approach

Integrated and Cross-sectoral

approach Community-Based NRM Sustainable Livelihoods Income Generating Activities Sustainable Agriculture

Sustainable Pasture

Management

Sustainable Forest/Woodland

Management

Improved Soil and Water

Management Techniques Sustainable Fire Management

Drought Mitigation/Early

Warning Land Degradation Neutrality Land Productivity

Land Cover and Land cover

change

Carbon stocks above or below

ground Food Security International Waters Ship Coastal

Freshwater Aquifer River Basin Lake Basin Learning Fisheries Persistent toxic substances SIDS : Small Island Dev States Targeted Research

PollutionPersistent toxic substances

Plastics

Nutrient pollution from all

sectors except wastewater

Nutrient pollution from

Wastewater

Transboundary Diagnostic Analysis and Strategic Action Plan preparation

Strategic Action Plan

Implementation

Areas Beyond National

Jurisdiction

Large Marine Ecosystems Private Sector Aquaculture Marine Protected Area


65

Level 1 Level 2 Level 3 Level 4 Biomes Mangrove Coral Reefs Seagrasses Polar Ecosystems Constructed Wetlands Chemicals and Waste

Mercury Artisanal and Scale Gold Mining Coal Fired Power Plants Coal Fired Industrial Boilers Cement Non-Ferrous Metals Production Ozone Persistent Organic Pollutants

Unintentional Persistent Organic

Pollutants

Sound Management of chemicals

and Waste

Waste Management Hazardous Waste Management Industrial Waste e-Waste Emissions Disposal

New Persistent Organic

Pollutants

Polychlorinated Biphenyls Plastics Eco-Efficiency Pesticides DDT - Vector Management DDT - Other Industrial Emissions Open Burning

Best Available Technology / Best

Environmental Practices

Green Chemistry Climate Change

Climate Change AdaptationClimate Finance

Least Developed Countries Small Island Developing States Disaster Risk Management Sea-level rise

Climate Resilience Climate information Ecosystem-based Adaptation Adaptation Tech Transfer

National Adaptation Programme

of Action National Adaptation Plan Mainstreaming Adaptation Private Sector Innovation Complementarity Community-based Adaptation Livelihoods Climate Change Mitigation

Agriculture, Forestry, and other Land Use

Energy Efficiency

Sustainable Urban Systems and

Transport Technology Transfer Renewable Energy Financing


66

Level 1 Level 2 Level 3 Level 4 Enabling Activities Technology Transfer

Poznan Strategic Programme on

Technology Transfer

Climate Technology Centre &

Network (CTCN) Endogenous technology Technology Needs Assessment Adaptation Tech Transfer

United Nations Framework on Climate Change

Nationally Determined Contribution

Paris AgreementSustainable Development Goals

Climate Finance (Rio Markers)Climate Change Mitigation 1Climate Change Mitigation 2Climate Change Adaptation 1Climate Change Adaptation 2


67

ANNEX H: TERMS OF REFERENCE FOR PROJECT PERSONNEL, CONSULTANTS AND SUBCONTRACTS

PROJECT PERSONNEL

Capacity Building and Methodology Development - staff

Project title: Technology Needs Assessments - Phase IV (TNA Phase IV)

Post title: Capacity Building and Methodology Development - staff

Budget line ID: 0101

Duration: 36 months

Date Required: beginning of month 1

Duty station: Copenhagen, Denmark

Reporting structure: the Capacity Building and Methodology Development staff, report to the Project Manager at UDP

Background: The activities to be provided by the capacity building and methodology staff will improve existing TNA methodologies, develop new guidance, and build national capacities through national, regional and global level training workshops. This will lead to the delivery of quality TNAs with a robust nationally driven technology prioritization process for both mitigation and adaptation, improved Barrier Analysis and Enabling Framework reports, TAPs to support accelerated implementation of technologies, and better articulated project ideas.

Project activities to be undertaken:Development and updating of new and existing TNA support material, including national and regional capacity building training modules

Expected deliverables to be produced:

Updated and new methodologies and tools to complement existing guidance Country capacity building package to support national TNA teams Updated regional training package One (1) training of trainers workshop Two (2) national capacity building workshops per country Three (3) regional workshops per region

Qualifications:Relevant background in for example, economics, engineering, development studies, or geography, and proven expertise in climate change and sustainable development issues, and technology transitions and innovation systems.

Language(s): English and at least one staff with French skills


68

Dissemination - staff


Post title: Dissemination - staff


Duration: 30 months



Reporting structure: the Dissemination staff reports to the project manager at UDP

Background: At regional and global levels, activities will aim at disseminating tools, results and best practices; stimulating peer-learning and use of TNA results and promoting priority project ideas and technology actions identified by participating countries to donors, development banks and public and private investors.At global level, while ‘traditional’ dissemination events such as COP side events, workshops, and conferences will be important tools for diffusion and learning, the project will also utilize information and communication technologies to reach out to the global community. During TNA Phase I a website for the TNA project (www.tech-action.org) was created. The website provides all important project information, such as country reports, technology prioritization factsheets as well as methodologies and tools for the TNA process. This website was uploaded in a new version during TNA Phase III, and will continue to be regularly updated to facilitate improved access to TNA/TAP results for development partners as well as public and private investors. In addition, newsletters will be prepared and disseminated regularly to TNA participants, partner institutions and networks.

Project activities to be undertaken:The dissemination staff will be responsible for general outreach and awareness creation of TNA/TAP results, and support to one (1) global kick-off workshop at the start of the project and one (1) experience sharing workshop at the TAP preparation stage.

Expected deliverables to be produced:

General outreach support as outlined above. Dissemination of tools, methodologies and lessoned learned through general outreach, including through three

(3) side events and six (6) half yearly newsletters

Qualifications:

A background in communications and outreach, skills in writing news pieces and using social media for professional outreach.

Language(s): English


69

Country support - staff


Post title: Country support - staff


Duration: 36 months



Reporting structure: the country support staff report to the Project Manager at UDP.

Background:Each participating country will have single entry point at UDP for all communication. This ensures a smooth process and the participating countries always know who to send requests to and who to communicate with.

Project activities to be undertaken:The country support staff travels on inception mission to each of the participating countries, supports the countries in setting up the institutional arrangement for the TNA process, and is responsible for the recruitment of national consultants. In addition, the country support staff manage contracts with signing entities in the participating countries and national consultants, and are responsible for day-to-day follow up and coordination with the countries on their deliverables.

Expected deliverables to be produced: 1 mission report per country management of country contracts, 1 cooperation agreement per country

Qualifications:Relevant background in for example, economics, engineering, development studies, or geography, and proven expertise in climate change and sustainable development issues, and technology transitions and innovation systems. Experience with working in and with developing country partners.

Language(s): English or French where needed.


70

Project management - staff


Post title: Project management - staff


Duration: 36 months



Reporting structure: The UDP project manager refers to the Director of UDP

Background:The UDP project management is responsible for day-to-day management and execution of the project, including financial management and project reporting.

Project activities to be undertaken:The main activities are the following:

Ensure technical execution according to the execution plan laid out in the project document; Ensure technical quality of products, outputs and deliverables; Ensure compilation and submission of progress, financial and audit reporting to UNEP; Submission of budget revisions to UNEP for approval; Addressing and rectifying any issues or inconsistencies raised by the UNEP; Bringing issues raised by or associated with clients to the UNEP for resolution; Facilitating Steering Committees and other oversight bodies of the project; Day to day oversight of project execution; Submit all technical reports and completion reports to UNEP (realized outputs, inventories, verification of co-

finance, terminal reporting, etc.)The UDP project management will also supervise the remaining UDP staff involved in the project.

Expected deliverables to be produced:The TNA Project Manager at UDP will be responsible for:

Overall project coordination and managing the TNA team in UDP (in line with the tasks for UDP listed above). Following up, and communicating with national TNA country coordinators and other local stakeholders such as

national consultants, representatives from signing ministries and the local funding community. Reporting on project activities to UNEP and the PSC (this includes financial reporting and preparing the annual

Project Implementation Review (PIR) report for GEF in collaboration with the UNEP Task Manager).Qualifications:Relevant background in for example, economics, engineering, development studies, or geography, and proven expertise in climate change and sustainable development issues, and technology transitions and innovation systems. Experience with working in and with developing country partners, experience in team management, and at least 10 years of experience within the field of TNAs and TAPs.



71

PROJECT CONSULTANTS

Tools and Methodology Development experts


Post title: Tools and Methodology Development experts - Expert on indigenous people and technologies


Duration: 4 months

Date Required: Month 2

Duty station: no specific duty station required.

Reporting structure: The consultant reports to the Project manager at UDP

Background:Most TNA/TAP processes do not consider indigenous people aspects in their analyses. UDP and UNEP have observed this need and will develop a guidebook to elaborate on the aspects of how consideration of indigenous people can be integrated into the assessments and why and how it is relevant to include such aspects when focusing on technologies. Currently no similar guidance exists. The expert on indigenous people and technologies will prepare this guidebook.

Project activities to be undertaken (identified by activity number, broken down per project Component and Outputs):Contribution to Component 1, Output 1, deliverable 1.1.1New guidebook on indigenous people aspects in TNAs and TAPs

Expected deliverables to be produced (identified by deliverable number):A guidebook under deliverable 1.1.1 on indigenous people and technology aspects in the TNA process – to guide and assist the country teams to consider these during their assessments.

Qualifications:The expert must have extensive knowledge of - and experience with –climate change and indigenous people considerations. In addition, the expert must have good knowledge of TNAs and how TNA processes are conducted in countries. The expert should also have good communication skills in writing and must have a proven record of publications, including guidebooks.



72

Communication and Outreach experts


Post title: Communication and Outreach experts


Duration: n/a. The consultant is needed for design and print of guidebooks and outreach material throughout the project on short term contracts.

Date Required: beginning of month 6.

Duty station: No specific duty station required

Reporting structure: the consultant will refer to the UDP Project Manager

Background:Methodologies, guidance and tools for technology needs assessments and action plans covering both adaptation and mitigation aspects are updated/developed. These new guidebooks will need layout and print to be made available to TNA stakeholders.

Project activities to be undertaken (identified by activity number, broken down per project Component and Outputs):Contribution to Component 1, Output 1, deliverable 1.1.1

Expected deliverables to be produced (identified by deliverable number):Layout and print of two (2) new guidebooks and one (1) updated guidebook under Activity 1.1.2.Layout and print of various brochures published as outreach material to contribute to awareness raising of TNAs and TAPs.

Qualifications:Relevant and documented expertise in graphic layout and print



73

Peer experts


Post title: Peer experts


Duration: 30 Months


Duty station: No specific duty station required

Reporting structure: the consultant refers to the UDP Project Manager.

Background: Peer-to-peer exchange and south-south cooperation is seen as very beneficial by the participating countries, as it leads to improved knowledge sharing on TNAs and TAP implementation. The TNA Phase IV project will facilitate showcasing of best practices from countries that have conducted a TNA during TNA Phase I, II or III; create global TNA stakeholder networks through global experience sharing workshops; and mentorship of peer expert participating TNA III country from a country that has conducted a TNA already, preferably from the same region or with similar climate change challenges and priorities.

Project activities to be undertaken:Participation and presentations in regional and global workshops, sharing experiences & good practices with country participants to enhance peer-to-peer learning and exchange.

Expected deliverables to be produced:Deliverables: minimum 1 presentation per workshop, active engagement with TNA IV stakeholders during workshopsIn addition, the following reports should be submitted to UDP:

a) Mission report, no later than two (2) weeks after each workshop;b) Mission report, no later than two (2) weeks after each mission, if any

Qualifications:The Peer expert should have extensive knowledge of - and experience with –climate change adaptation and/or mitigation strategies and with conducting national technology needs assessments. The expert should also have good communication skills in order to facilitate best practices and knowledge sharing with TNA Phase IV countries.

Language(s): If not otherwise indicated, working language is English. For a Regional Centre supporting French speaking countries, French is a requirement as well.


74

IMPLEMENTING PARTNERS

Regional Centres


Post title: Regional Centers


Duration: 30 months


Duty station: In a country in the relevant region.

Reporting structure:Activity reportsThe following reports should be submitted to UDP:

a) Summary report, no later than two (2) weeks after each workshop;b) Summary report, no later than two (2) weeks after each inception mission;c) Summary report, no later than two (2) weeks after each technical support missiond) A final synthesis report no later than month 35 of the TNA Phase IV project duration.

Financial ReportingA financial report containing a detailed breakdown of expenditures for services provided must be submitted to UDP towards the end of the contract.

Background:To create a greater awareness about technology needs of the countries at the regional level, and to enhance capacities within the region, UDP collaborates with Regional Centers in each of the regions (Francophone Africa, Anglophone Africa, Asia-Pacific, and the Caribbean). The Regional Centers will thus play a substantial role in providing technical support to the national TNA teams. The main responsibilities of the Regional Centers and consultants include:

• Partner with UDP in the organization and facilitation of regional training workshops where participants from countries will be trained in the methodology for conducting the TNA;

• Provide technical and process support to the countries within the region during the whole project implementation;

• Provide participating countries with support through the help desk upon request from the countries throughout project implementation;

• Review country deliverables to help improve quality of reports and compile a synthesis report.

Project activities to be undertaken:1. 2 missions to each participating country, including 2 national capacity building workshops per country (Output

1.2);2. organize 3 regional workshops (Sub-Output 1.2);3. establish and run up to 24 hours of advice/guidance (help desk) per country, requested by the countries after

country missions, workshops and throughout project implementation (Sub-Output 1.2);4. country report reviews (support Sub-Output 2.1, 2.2, 2.3, 2.3, 2.4)


75

Expected deliverables to be produced

1. Country missions, 2 per country, including national capacity building workshops, 1 report per mission (deliverable 1.2.2);

2. Organise 3 regional training workshops in the region, including workshop reports (deliverable 1.2.3). 3. Participation in 1 training of trainers workshop, including workshop report (deliverable 1.2.1);4. Two reviews of each of the country deliverables (first draft and second draft) submitted by the participating

countries in the region. This will include:o TNA reports for mitigation and adaptation (deliverable 2.1.1);o Barrier analysis reports for mitigation and adaptation (deliverable 2.2.1)o TAP reports, for mitigation and adaptation (deliverable 2.3.1);o Project concept notes (deliverable 2.4.1)

7. Final synthesis report for the corresponding region (template provided by UDP)

Qualifications:The Regional Centre should have

• Relevant experience of implementing or managing similar climate change projects, in the region. Experience of working closely with national governments is desirable.

• Knowledge of both climate change mitigation and adaptation issues• Knowledge of climate change technologies, across multiple sectors (both mitigation and adaptation)• Experience in organizing workshops, training and capacity building with a broad group of stakeholders• Knowledge of or willingness to learn, assessment methodologies, including multi-criteria analysis, barriers

analysis, basic economic assessments etc.

Language(s): If not otherwise indicated, working language is English. For a Regional Centre supporting French speaking countries, French is a requirement as well.


76

Country Subcontracts


Post title: Country Sub-contracts


Duration: 30 Months

Date Required: Month 4 in the global project work plan.

Duty station: In the country of the TNA project for this national level contract

Reporting structure: All the preceding deliverables should have been delivered prior to each of the major deliverable

(a) to (d) as listed below.

Background:The TNA project aims to articulate a range of specific actions that stakeholders - including governments - can pursue, to enable the transition to low-carbon and climate resilient economies. The TNA project also acts as bridge to both private and public sources of investment. The TNA project follows a country-driven approach. A designated national institution takes the lead, involving a wide range of stakeholders in the process.

Project activities to be undertaken:The TNA participating country is expected to:

a) facilitate the identification and prioritization of technologies for mitigation and adaptation sectors through a participatory process with a broad involvement of relevant stakeholders (Sub-Output 2.1);

b) analyze, in close collaboration with the working groups, how the prioritized technologies can be implemented in the country and how conditions for implementation can be improved by addressing the barriers and developing an enabling framework (Sub-Output 2.2);

c) elaborate on the essential elements of an enabling framework for technology transfer consisting of market development measures, institutional, regulatory and financial measures, and human and institutional capacity development requirements. This includes detailed plans of actions, the Technology Action Plans, based on the previous steps (Sub-Output 2.3);

d) elaborate project concepts (one per sector) (Sub-Output 2.4);e) communicate results and hold national dissemination events (Sub-Output 2.5).

Expected deliverables to be produced (identified by deliverable number):a) A Technology Needs Assessment (TNA) report describing the prioritised technologies for mitigation and

adaptation in selected sectors including the process followed and the rationale for the latter (deliverable 2.1.1);b) A Barrier Analysis and Enabling Framework (BA&EF) report on exiting barriers for the prioritised

technologies, and enabling framework to facilitate the deployment and diffusion of technology priorities; (deliverable 2.2.1);

c) A Technology Action Plan (TAP) report for mitigation and adaptation including project ideas for the implementation of the TAP; (deliverable 2.3.1);

d) A project concept note (deliverable 2.4.1); GEF 7 Enabling Activity Template- March 15, 2019 (revised)

77

e) Reports on national dissemination events (including lists of participants, letter of submission of projects from TNA/TAP to funders) (deliverable 2.5.1);

f) A report containing information on national workshops and list of participants;g) A report documenting the process through which relevant stakeholders and funding community have been

involved in the process;A final activity report of the overall activities of the project.

Qualifications:The contracting entity should be anchored in the national Government. The country should explicitly mention in their policy documents (iNDCs or National Communications) and/or indicated through communication with UNEP the need for external support to identify and implement the technology actions necessary to achieve their national development goals and NDC targets.

Language(s): English or French where relevant.


78

ANNEX I-1 DETAILED GEF BUDGET


79


80

ANNEX I-2 DETAILED CO-FINANCE BUDGET

To:

Name Source Type Investment Mobilized Output 1 Output 2 PMC

1 UNEP GEF Agency In-Kind Recurrent expenditures 33,500 16,500 50,000

UNEP’s in-kind contribution will cover backstopping services to UDP for:• Providing strategic, technical and methodological support for project implementation;• Supporting the dissemination of outputs and results, and engagement of donors/development partners to foster TAP implementation; and• Facilitating the synergies and links between the project and the CTCN as well as the regional Technology Transfer and Financing Center projects implemented by the regional development banks in Asia, Africa, Europe and Latin America.

2 UNEP DTU Partnership Other In-Kind Recurrent

expenditures 76,960 50,862 22,178 150,000

The UNEP DTU Partnership will provide in-kind contribution covering technical and methodological support for:• Technical review of reports submitted by the countries: Technology Needs Assessments, Barrier Analysis & Enabling Framework, Technology Action Plans;• Development and improvement of trainings, tools and methodologies;• Development and revision of guidebooks; and• Database and website update and development for dissemination of project information, outputs and results

3 CTCN Other In-Kind Recurrent expenditures 35,000 875,000 910,000

The CTCN will provide in-kind co-financing consisting of staff-time/expertise from CTCN, its consortium partners and network members to:• Participate as resource persons in TNA related global and regional workshops and events;• Respond to TNA related technical assistance requests submitted by participating countries;• Facilitate access for participating countries to knowledge and information from different organizations and countries; and• Disseminate TNA results and promote TAP implementation.

4 Governments Recipient Country Government

In-Kind Recurrent expenditures 425,000 425,000 Each one of the 17 participating countries will contribute with US$ 25,000 of in-kind co-financing to project activties

5 -

6 -

111,960 1,384,362 38,678 1,535,000

From: 1-Jul-2020Project implementation period: 30-Jun-2023

Total

Co-finance contribution per project Output in US$No. Total

in US$Description of co-finance contributions

(in line with co-finance letters received from partners)

Co-finance partner Nature of co-finance

ANNEX I-2 -CO-FINANCE BUDGET

Project Executing Agency:

Project Implementing Agency:

Project Title:

Project Number: 10171

Technology Needs Assessments (TNA) Phase IV

UNEP DTU Partnership

UNEP


81

ANNEX J: M&E BUDGET AND WORKPLAN

M&E Activity Description Responsible Parties Timeframe Indicative budget (USD)

Inception Workshop (IW)

Report prepared following the IW; which includes:- A detailed workplan and budget for the first year of project implementation, - An overview of the workplan for subsequent years, divided per component, output and activities.- A detailed description of the roles and responsibilities of all project partners- A detailed description of the PMU and PSC, including an organization chart- Updated Procurement Plan and a M&E Plan, Gender Action Plan- Minutes of the Inception Workshop

Execution:UDP

Support: UNEP

1 report to be prepared following the IW, to be shared with participants 4 weeks after the IW (latest)

GEF: part of Project Manager’s tasks

Co-finance: $1,000

Steering Committee Meeting

Prepare minutes for every Steering Committee Meeting.

Execution: UDP

Support: UNEP

At least 1 per yearMinutes to be submitted 1 week following each PSC meeting


Co-finance: $900

Half-yearly progress report

Part of UN Environment requirements for project monitoring. - Narrative of the activities undertaken during the considered semester- Analyzes project implementation progress over the reporting period; - Describes constraints experienced in the progress towards results and the reasons.

Execution:UDP

Support: UNEP

Two (2) half-yearly progress reports for any given year, submitted by July 31 and January 31 (latest)


Co-fin: $3,000

Quarterly expenditure reports

Detailed expenditure reports (in excel) broken down per project component and budget line, with explanations and justification of any change

Execution:UDP

Support:UNEP

Four (4) quarterly expenditure reports for any given year, submitted by January 31, April 30, July 31 and October 31 (latest)


Co-fin: $5,000

Technical and thematic reports; Communication of lessons learnt

Technical and thematic periodic reports could also be prepared to focus on specific issues or areas of activity covered by the project.

Execution:UDP

Support:UNEP

As necessary for the thematic reports

GEF: $0

Co-fin: $3,000

Project Implementation Review (PIR)

Analyzes project performance over the reporting period. Describes constraints experienced in the progress towards results and the reasons. Draws lessons and makes clear recommendations for future orientation in addressing the key problems in the lack of progress.The PIRs shall be documented with the

Execution:UDP, UNEP

Support:

1 report to be prepared on an annual basis, to be submitted by 15 July latest


Co-fin: $6,000


82

M&E Activity Description Responsible Parties Timeframe Indicative budget (USD)

evidence of the achievement of end-of-project targets (as appendices).

Co-financing Report Report on co-financing (cash and/or in-kind) fulfilled contributions from all project partners that provided co-finance letters.

Execution: UDP

Support: other co-finance partners

1 annual report from each co-finance partner, and 1 consolidated report, to be submitted by 31 July latest


Co-fin: $300

Medium-Term Evaluation (MTE)

The purpose of the Mid-Term Evaluation (MTE) is to provide an independent assessment of project performance at mid-term, to analyze whether the project is on track, what problems and challenges the project is encountering, and which corrective actions are required so that the project can achieve its intended outcomes by project completion in the most efficient and sustainable way. It will verify information gathered through the GEF tracking tools.

Execution: UDP, UNEP

Support: UNEP Evaluation Office

At mid-point of project implementation if deemed needed by the Task Manager

GEF: $20,000

Co-fin: $5,000

Final Report The project team will draft and submit a Project Final Report, with other docs (such as the evidence to document the achievement of end-of-project targets).Comprehensive report summarizing all activities, achievements, lessons learned, objectives met or not achieved structures and systems implemented, etc. Lays out recommendations for any further steps that may need to be taken to ensure the sustainability and replication of project activities.

Execution: UDP

Support: UNEP

Final report to be submitted no later than three (3) months after the technical completion date


Co-fin: $8,000

Terminal Evaluation (TE)

Further review the topics covered in the mid-term evaluation. Looks at the impacts and sustainability of the results, including the contribution to capacity development and the achievement of global environmental goals.

Execution:Independant evaluator

Support: UDP, UNEP

Can be initiated within six (6) months prior to the project’s technical completion date

GEF: $40,000

Co-fin: $0

Publication of Lessons Learnt and other project publications

Lessons learned and other project documents are published for the benefit of on-going and future projects

Execution: UDP

Support: UNEP

Annually, part of half-yearly progress reports and Final Report

GEF: 0

Co-fin: $2,000

TOTAL M&E COST GEF: US$ 60,000Co-fin: US$ 34,200


83

ANNEX K: PROJECT IMPLEMENTATION ARRANGEMENTS

The project will be implemented in 17 countries that have submitted their letters of endorsements for this project. To ensure that activities at the country level respond to the priorities identified in the relevant United Nations Development Assistance Framework and national strategies, participating countries, with the support of a national TNA project team, will prepare a costed national work plan based on a simplified format, but will include timelines, benchmarks, and indicators to show how each output supports the overall TNA process at the national level. During the start-up of project activities in each country, inception missions will be undertaken to each of the countries involved, to assess the level of political and administrative effort needed to establish favorable institutional conditions for subsequent project activities.

UNEP will be the Implementing Agency for this project and the UDP, a separate legal entity, will be the Executing Agency for this project.

Drawing on its experience in supporting the National Communications, NDC development, and the Global TNA Project, UDP will take the lead in identifying and securing the support of key stakeholders in each country, including the structuring of legal agreements with appropriate government institutions (Memorandum of Understanding), in close consultation with UNEP Economy Division. Once the necessary agreements are in place, UDP will provide guidance to countries on setting up the national project management implementation structures (using a model developed under the previous TNA project Phase I, II and III).

The institutional structure proposed for carrying a successful TNA is shown in the figure below. The National TNA Team will include a National TNA Coordinator, the National Consultants, and Working Groups. Roles for each of them are clearly defined. Once the national team has been established, national capacity will be strengthened through national and regional capacity building workshops. National consultants will receive training on methodologies and tools for conducting the TNA. The in-country institutional elements and their exact nomenclature would depend on countries. For example, a country may decide to call the project steering committee a “National Advisory Committee”. However each element of the in-country institutional structure is designed to play an important role.


84

The TNA project aims to articulate a range of specific actions that stakeholders - including governments - can pursue, to enable the transition to low-carbon and climate resilient economies. The TNA project also acts as bridge to both private and public sources of investment. The TNA project follows a country-driven approach. A designated national institution takes the lead, involving a wide range of stakeholders in the process. Working with regional centres of excellence in climate change mitigation and adaptation, the project offers support to participating countries in the form of national, regional, and global capacity building workshops, technical support missions, and technical backstopping throughout the process.

Overall, national TNA teams should work closely together with the teams in charge of the NDC process, National communications preparations, NAPs and other relevant processes. Institutions and stakeholders such as Ministries of Finance and Planning, business associations, financial institutions, academia/research institutions and donors/development partners should be involved in the TNA process.

The TNA process will be conducted through a stakeholder driven approach lead by the national TNA Coordinator in collaboration with selected national experts (National consultants). A wide range of stakeholders should be consulted, including the involvement of working groups. The TNA team can come out with policy recommendations but if those are to be implemented, they need to be vetted by policy makers, who constitute the National Steering Committee. A more detailed description of the various national bodies and their corresponding role is described below.

In-country

National Steering CommitteeNational Steering Committee is the key guiding body of the project. The National Steering Committee should be comprised of members responsible for policy making from all relevant ministries as well as key stakeholders from the private sector. The National Steering Committee provides political acceptance to the TNA process within a country and will be responsible for political endorsement of the Technology Action Plans. In some countries there is an existing inter-ministerial National Climate Change Committee, which could also be utilized as a steering committee for the TNA project, ensuring coherence and linkages between national climate change activities.

National TNA TeamThe National TNA Team will be the main decision making body for the project with the National TNA Coordinator acting as a focal point. The National TNA Team includes the National TNA Coordinator, the National Consultants, and the Working Groups. The National TNA coordinator will play a key role and coordinate amongst the different groups to ensure that they work together as a team.

National TNA CoordinatorThe appointment of the National TNA Coordinator is the responsibility of the Signing entity (responsible ministry). The National TNA Coordinator will be the focal point for the effort and manager of the overall TNA process. In view of the role of National Designated Entities (NDEs) to the UNFCCC Technology Mechanism, it is strongly recommended that countries select their NDEs as their National TNA Coordinators. This will involve providing vision and leadership for the overall effort, facilitating the tasks of communication with the National TNA Committee members, National Consultants and stakeholder groups, formation of networks, information acquisition, and coordination and communication of all work products. The leadership of the National TNA coordinator is crucial for the success of the TNA in each country. It is therefore recommended that the skill set of the TNA Coordinator include facilitation skills, project management, and some familiarity with technology aspects.


85

National Consultants/ExpertsThe national consultants are national experts, selected by the national signing entity with support and guidance from the TNA National Steering Committee, the regional centres and from UDP. The consultants will work in close collaboration with the various working groups, and will report directly to the National TNA Coordinator. The national consultants’ overall task is to support the entire TNA process and to prepare the analytical inputs. The national consultants will participate in capacity building workshops to be organized by UDP at regional level together with the regional centers. They will be responsible for providing process-related and technical advisory services needed for conducting TNAs and developing Technology Action Plans at the country level. The role of the national consultants will thus be to lead and undertake activities such as research, analysis and synthesis in support of the TNA process. The national consultants will assist the TNA coordinator in applying a participatory approach to the TNA process by facilitating the tasks of communication within the national TNA team, outreach to stakeholders, formation of networks, and coordination and communication of work products. The national consultants are expected to:

f) facilitate the identification and prioritization of technologies for mitigation and adaptation sectors through a participatory process with a broad involvement of relevant stakeholders;

g) analyze, in close collaboration with the working groups, how the prioritized technologies can be implemented in the country and how conditions for implementation can be improved by addressing the barriers and developing an enabling framework;

h) elaborate on the essential elements of an enabling framework for technology transfer consisting of market development measures, institutional, regulatory and financial measures, and human and institutional capacity development requirements. This includes a detailed plan of actions in order to implement the proposed policy measures and estimate the need for external assistance to cover additional implementation costs;

i) prepare the Technology Action Plans based on the previous steps.j) elaborate project concepts (one per sector).

Sectoral working groupsThe experts in the working groups are central to the TNA process. A network of stakeholders needs to be established to carry forward an implementation plan after completion of the TNA. Therefore, to give an active role to the stakeholders in the TNA process, constitution of these working groups is key. The working groups are in most cases established as sectoral groups, but could also be created based on technology types. The working groups should include stakeholders from government departments with responsibility for policy formulation and regulation, private and public sector industries, electric utilities and regulators, technology suppliers, finance, technology end users (e.g., households, small business, farmers, technology experts (e.g., from universities, consultants, etc.) and others (international organizations, donors, non state actors, etc.).

National UNFCCC Coordination supportThe national entry point for a TNA is the UNFCCC Focal Point. As for TNA Phase II and III, TNA Phase IV countries will be encouraged to nominate their TNA coordinators from the same office as the main focal points in the countries for the Technology Mechanism of the UNFCCC: the National Designated Entities (NDEs) of the CTCN. In cases where NDEs are not TNA Coordinators, they should have continuous collaboration with the TNA Coordinator and be actively involved in the TNA process through participation in meetings etc. The direct ownership of the TNA by NDEs will ensure the generation of Climate Technology Centre and Network (CTCN) technical assistance requests that support the implementation of priority actions and project ideas identified in TNA and Technology Action Plan process..

Regional TNA Support MechanismRegional Centres (RCs)


86

To create a greater awareness about technology needs of the countries at the regional level, and to enhance capacities within the region, UDP collaborates with RCs in each of the regions (Francophone Africa, Anglophone Africa, Asia-Pacific, and the Caribbean). The RCs will thus play a substantial role in providing technical support to the national TNA teams. The main responsibilities of the RCs and consultants include:

• Partner with UDP in the organization and facilitation of regional training workshops where participants from countries will be trained in the methodology for conducting the TNA;

• Provide technical and process support to the countries within the region during the whole project implementation;

• Provide participating countries with support through the help desk upon request from the countries throughout project implementation;

• Review country deliverables to help improve quality of reports and compile a synthesis report.

GlobalProject Steering Committee (PSC)The PSC plays a central role in the implementation of the project. During TNA Phase I, Phase II, and Phase III, the PSC provided strategic guidance and advice on various issues requesting corrective measures or interaction with participating countries along project implementation. The PSC will receive periodic reports on progress and will be asked to make recommendations to UNEP concerning the need to revise any aspects of the Results Framework or the M&E plan. The PSC provides guidance and advice to the project by:

Participating in annual PSC meetings and provide strategic guidance and advice based on the project update; Contacting national TNA coordinators or signing ministries in case of delays in initiating activities or failure to

deliver expected outputs in time (this has proven to be useful for some countries during Phase I); Maintaining regular communication with representatives of National Steering Committees (NSC). To facilitate

this, UDP and UNEP will present the constituted PSC to the NSC of each of the participating countries during inception missions;

Providing feedback regarding selection of national coordinators. Experience from Phase I and II shows some of the delays in delivering outputs from participating countries or the non-completion of the TNA work could have been prevented if the PSC had been consulted on the selection of national TNA coordinators beforehand;

Helping in the identification of relevant representatives from the international, regional and local funding community so those can be involved from project implementation's start.

UDP (Executing Agency)UDP (the UNEP DTU Partnership) is the Executing Agency for the project at global level and is responsible for day-to-day management and execution of the project, including financial management and project reporting. The main roles of the Executing Agency are the following:

Ensure technical execution according to the execution plan laid out in the project document; Ensure technical quality of products, outputs and deliverables; Ensure compilation and submission of progress, financial and audit reporting to IA; Submission of budget revisions to IA for approval; Addressing and rectifying any issues or inconsistencies raised by the IA; Bringing issues raised by or associated with clients to the IA for resolution; Facilitating Steering Committees and other oversight bodies of the project; Day to day oversight of project execution;


87

Submit all technical reports and completion reports to IA (realized outputs, inventories, verification of co-finance, terminal reporting, etc.)

UDP will also provide support to the countries in the TNA exercises. UDP, through a team working under the supervision of the TNA Project Manager, facilitates the TNA/TAP process by:

Providing guidance and assistance to the countries to set-up the institutional structures required for conducting the TNA/TAP process.

Providing methodological inputs. Providing support to the countries for data related to technologies on mitigation and adaptation. This support

would be rendered by developing/improving existing guidebooks and through the on-demand help desk facility available with the RCs.

Providing training in methodological tools and databases which will be provided in regional capacity building workshops.

The TNA Project Manager at UDP will be responsible for: Overall project coordination and managing the TNA team in UDP (in line with the tasks for UDP listed above). Following up, and communicating with national TNA country coordinators and other local stakeholders such as

national consultants, representatives from signing ministries and the local funding community. Reporting on project activities to UNEP and the PSC (this includes financial reporting and preparing the annual

Project Implementation Review (PIR) report for GEF in collaboration with the UNEP Task Manager).

In addition, UDP will, in consultation with national executing agencies evaluate training needs for national TNA team members aimed at enhancing the quality of TNA/TAP reporting (i.e. knowledge, skill and behavioral gaps) and feed these into the development of a comprehensive capacity building strategy in the context of the overall project implementation plan. Based on country needs, suitable support will be provided by collaborating RCs implying that a national team will be able to access services from more than just one regional center during the project life span. UDP will also assist countries (i) evaluate their TNA/TAP capacity needs/constraints, (ii) identify, if needed, additional regional training centers to train national teams (iii) provide an oversight role to regional centers supporting all participating countries (QA/QC), as well as provide targeted technical assistance to Regional Centers to help address adaptation and/or mitigation areas capacity constraints.

Countries will receive grant financing for in-country activities and participation in regional and global capacity building events, while qualified RCs will be used to provide as much of the technical guidance and support, as their capacities allow, based on a participatory evaluation of their capacities by UDP. The project will network and promote exchange of experience and information between countries. This will not only aid in the preparation of TNAs but will also establish the basis for cooperative arrangements for eventual implementation of measures identified in TNAs. A steering committee will be established to provide strategic guidance to the programme on technology transfer. This will be further elaborated during the project preparatory phase.

UNEP (Implementing Agency)The project Implementing Agency (IA) is the UNEP Climate Mitigation Unit. It is responsible to the GEF for the project’s oversight, the use of resources as written in the EA request document, or any amendments agreed to it by all donors. The main roles of the Implementing Agency are described hereafter:

• Ensure timely disbursement/sub-allotment to the Executing Agency, based on agreed legal document and in accordance with UNEP and GEF fiduciary standards;

• Follow-up with Executing Agency (EA) for progress, equipment, financial and audit reports; GEF 7 Enabling Activity Template- March 15, 2019 (revised)

88

• Provide consistent and regular oversight on project execution and conduct project supervisory missions as per Supervision Plans and in doing so ensures that all UNEP and GEF criteria, rules and regulations are adhered to by project partners;

• Technically assess and oversee quality of project outputs, products and deliverables – including formal publications;

• Provide no-objection to main TORs and subcontracts issued by the project, including selection of project managers or equivalent;

• Attend and facilitate inception workshops, field visits where relevant, and selected steering committee meetings;

• Asses project risks, and monitor and enforce a risk management plan;• Regularly monitors project progress and performance and rates progress towards meeting project

objectives, project execution progress, quality of project monitoring and evaluation, and risk;• Monitor reporting by project executing partners and provides prompt feedback on the contents of the report;• Promptly informs management of any significant risks or project problems and takes action and follows up

on decisions made;• Apply adaptive management principles to the supervision of the project;• Review of reporting, checking for consistency between execution activities and expenditures, ensuring that

it respects GEF rules; • Clearance of cash requests, and authorization of disbursements once reporting found to be complete; • Approve budget revision, certify fund availability and transfer funds;• Ensure that GEF and UNEP quality standards are applied consistently to all projects, including branding

and safeguards;• Certify project operational completion;• Link the project partners to any events organised by GEF and UNEP to disseminate information on project

results and lessons;• Manage relations with GEF.• Review and finalize PIR;• Develop portfolio level consolidated report and submit to GEF (and contribute to all GEF-level report);• The UNEP Evaluation Office ensures that independent evaluations are carried out according to GEF and

UNEP requirements (dedicated budget, TOR, mission planning), and review evaluation reports;• Work with EA to develop management response to evaluation reports and Steering Committee

recommendations; • Manage relations with the GEF Evaluation Office and GEF Secretariat on all M&E products;• Ensure OFPs obtain all M&E products and respond to information requests.• Lead project closure process using information provided by EA;• Inform Trustee and GEF Sec of closure;• Return any unspent GEF funds to Trustee; • Conduct post-facto evaluations or lessons learnt exercises.

UNFCCC Technology MechanismUNEP and UDP collaborate closely with the UNFCCC Secretariat’s technology team and the CTCN team, and are members of the UNFCCC Technology Executive Committee (TEC) TNA Taskforce. These linkages and cooperation will continue to increase opportunities related to technical assistance, knowledge sharing and networking activities.


89

The two bodies of the UNFCCC Technology Mechanism, the TEC and the CTCN, will serve in an advisory role to the TNA project, since both are members of the Global TNA Project Steering Committee. Also, the TNA project will continue working closely with the CTCN in order for countries to receive support for taking their TNA results forward.


90

ANNEX L: PROJECT WORKPLAN AND DELIVERABLES


91

ANNEX M: ESTIMATES OF DIRECT AND CONSEQUENTIAL GREENHOUSE GAS EMISSION REDUCTIONS

Include here the project’s estimates of direct and consequential (i.e. indirect) GHG emission reduction (explanations, assumptions, calculation sheets, etc.).

Not applicable.


92

ANNEX N: OFP ENDORSEMENT LETTERS

The 17 OFP endorsement letters are provide in a separate file.


93

ANNEX O: CO-FINANCING COMMITMENT LETTERS FROM PROJECT PARTNERS


94


95


96

ANNEX P: ENVIRONMENTAL, SOCIAL AND ECONOMIC REVIEW NOTE (ESERN)

Identification 10171

Project Title Technology Needs Assessments (TNA) Phase IV

Managing Division Economy Division

Type/Location Global

Region Africa / Asia Pacific / Latin America Caribbean / West Asia

List Countries Bahamas, Comoros Union, Ethiopia, Guinea-Bissau, Kiribati, Lesotho, Maldives, Niue, Papua New Guinea, Saint Kitts & Nevis, Solomon Islands, Somalia, South Sudan, Timor-Leste, Tonga, Tuvalu and Yemen.

Project Description This fourth phase of the global TNA project will build national capacities and support the institutionalization and implementation of the TNA process for an additional 17 developing countries, all being either LDCs or SIDS. The project provides targeted financial and technical support to prepare new or updated and improved TNAs, including TAPs, for prioritized technologies that reduce GHG emissions, support adaptation to climate change, and are consistent with Nationally Determined Contributions and national sustainable development objectives.

The project has one single Outcome (Outcome 1): Technology Needs Assessment (TNA) processes conducted by national stakeholders in the 17 participating countries, and TNA/TAP results available to be integrated into national planning processes and to be funded and implemented by interested stakeholders. Participating countries will also gain improved in-country capacity on the methodologies and process of conducting a TNA, including stakeholder engagement, multi-criteria analysis, barrier analysis, and preparation of project concepts.

The outputs of the project will be generated via a transparent participatory approach, with strong stakeholder engagement, which will enable national consensus on priority technologies and actions. The TNA in this project aims to support participating countries to implement their commitments under the Paris Agreement and the revision of their NDC. The TNA/TAP will also help countries in developing their project pipelines for the different financial instruments under the climate change convention as well as other potential funds and donors. Provided the political environment in supported countries is conducive to climate action, the project outputs will lead to policy changes and finance flows into priority technology areas.

Estimated duration of project: 36 months

Estimated cost of the project: USD 4,590,000


Project Overview

97


A. Summary of the Safeguard Risks Triggered

Safeguard Standard Triggered by the Project

Impa

ct o

f Risk

(1

-5)

Prob

abili

ty o

f Ri

sk (1

-5)

Sign

ifica

nce

of

Risk

(L, M

, H)

SS 1: Biodiversity, natural habitat and Sustainable Management of Living Resources

1 1 L

SS 2: Resource Efficiency, Pollution Prevention and Management of Chemicals and Wastes

1 1 L

SS 3: Safety of Dams and other major infrastructure 1 1 LSS 4: Involuntary resettlement 1 1 LSS 5: Indigenous peoples 1 1 LSS 6: Labor and working conditions 1 1 LSS 7: Cultural Heritage 1 1 LSS 8: Gender equity 1 1 LSS 9: Economic Sustainability 1 1 LAdditional Safeguard questions for projects seeking GCF-funding (Section IV)

B. ESE Screening Decision (Refer to the UNEP ESES Framework (Chapter 2) and the UNEP’s ESES Guidelines.)

Low risk Moderate risk High risk Additional information required Low risk Moderate risk High risk Additional information required

C. Development of ESE Review Note and Screening Decision:

Prepared by: Name: Jonathan Duwyn________ Date: 07/10/2019 Safeguard Advisor: Name: Yunae Yi Date: 07/10/2019 Task Manager: Name: Ruth Coutto Date: 18/11/2019

D. Recommended further action from the Safeguard Advisor: This is a low risk project.

x

II. Environmental Social and Economic Screening Determination

98

Precautionary ApproachThe project will take precautionary measures even if some cause and effect relationships are not fully established scientifically and there is risk of causing harm to the people or to the environment.

Human Rights PrincipleThe project will make an effort to include any potentially affected stakeholders, in particular vulnerable and marginalized groups; from the decision making process that may affect them.The project will respond to any significant concerns or disputes raised during the stakeholder engagement process.The project will make an effort to avoid inequitable or discriminatory negative impacts on the quality of and access to resources or basic services, on affected populations, particularly people living in poverty or marginalized or excluded individuals or groups.6

Screening checklist Y/N/Maybe

Comment

Safeguard Standard 1: Biodiversity, natural habitat and Sustainable Management of Living ResourcesWill the proposed project support directly or indirectly any activities that significantly convert or degrade biodiversity and habitat including modified habitat, natural habitat and critical natural habitat?

N

Will the proposed project likely convert or degrade habitats that are legally protected? NWill the proposed project likely convert or degrade habitats that are officially proposed for protection? (e.g.; National Park, Nature Conservancy, Indigenous Community Conserved Area, (ICCA); etc.)

N

Will the proposed project likely convert or degrade habitats that are identified by authoritative sources for their high conservation and biodiversity value?

N

Will the proposed project likely convert or degrade habitats that are recognized- including by authoritative sources and /or the national and local government entity, as protected and conserved by traditional local communities?

N

Will the proposed project approach possibly not be legally permitted or inconsistent with any officially recognized management plans for the area?

N

Will the proposed project activities result in soils deterioration and land degradation? NWill the proposed project interventions cause any changes to the quality or quantity of water in rivers, ponds, lakes or other wetlands?

N

Will the proposed project possibly introduce or utilize any invasive alien species of flora and fauna, whether accidental or intentional?

N

Safeguard Standard 2: Resource Efficiency, Pollution Prevention and Management of Chemicals and WastesWill the proposed project likely result in the significant release of pollutants to air, water or soil? N

6 Prohibited grounds of discrimination include race, ethnicity, gender, age, language, disability, sexual orientation, religion, political or other opinion, national or social or geographical origin, property, birth or other status including as an indigenous person or as a member of a minority. References to “women and men” or similar is understood to include women and men, boys and girls, and other groups discriminated against based on their gender identities, such as transgender people and transsexuals.


III. ESES Principle and Safeguard checklist

99


Comment

Will the proposed project likely consume or cause significant consumption of water, energy or other resources through its own footprint or through the boundary of influence of the activity?

N

Will the proposed project likely cause significant generation of Green House Gas (GHG) emissions during and/or after the project?

N TNA and TAPs actions will enable participating countries to mitigate GHG emissions in the future.

Will the proposed project likely generate wastes, including hazardous waste that cannot be reused, recycled or disposed in an environmentally sound and safe manner?

N

Will the proposed project use, cause the use of, or manage the use of, storage and disposal of hazardous chemicals, including pesticides?

N

Will the proposed project involve the manufacturing, trade, release and/or use of hazardous materials subject to international action bans or phase-outs, such as DDT, PCBs and other chemicals listed in international conventions such as the Stockholm Convention on Persistent Organic Pollutants or the Montreal Protocol?

N

Will the proposed project require the procurement of chemical pesticides that is not a component of integrated pest management (IPM)7 or integrated vector management (IVM)8 approaches?

N

Will the proposed project require inclusion of chemical pesticides that are included in IPM or IVM but high in human toxicity?

N

Will the proposed project have difficulty in abiding to FAO’s International Code of Conduct9 in terms of handling, storage, application and disposal of pesticides?

N

Will the proposed project potentially expose the public to hazardous materials and substances and pose potentially serious risk to human health and the environment?

N

Safeguard Standard 3: Safety of Dams and other infrastructureWill the proposed project involve constructing a new dam(s) or new infrastructure? NWill the proposed project involve rehabilitating an existing dam(s) or existing infrastructure? NWill the proposed project activities involve dam or other infrastructure safety operations? NSafeguard Standard 4: Involuntary resettlement Will the proposed project likely involve full or partial physical displacement or relocation of people? N

Will the proposed project involve involuntary restrictions on land use that deny a community the use of resources to which they have traditional or recognizable use rights?

N

Will the proposed project likely cause restrictions on access to land or use of resources that are sources of livelihood?

N

Will the proposed project likely cause or involve temporary/permanent loss of land? N

7 “Integrated Pest Management (IPM) means the careful consideration of all available pest control techniques and subsequent integration of appropriate measures that discourage the development of pest populations and keep pesticides and other interventions to levels that are economically justified and reduce or minimize risks to human health and the environment. IPM emphasizes the growth of a healthy crop with the least possible disruption to agro-ecosystems and encourages natural pest control mechanisms http://www.fao.org/agriculture/crops/thematic-sitemap/theme/pests/ipm/en/8 "IVM is a rational decision-making process for the optimal use of resources for vector control. The approach seeks to improve the efficacy, cost-effectiveness, ecological soundness and sustainability of disease-vector control. The ultimate goal is to prevent the transmission of vector-borne diseases such as malaria, dengue, Japanese encephalitis, leishmaniasis, schistosomiasis and Chagas disease." (http://www.who.int/neglected_diseases/vector_ecology/ivm_concept/en/)9 Find more information from http://www.fao.org/fileadmin/templates/agphome/documents/Pests_Pesticides/Code/CODE_2014Sep_ENG.pdf


100


Comment

Will the proposed project likely cause or involve economic displacements affecting their crops, businesses, income generation sources and assets?

N

Will the proposed project likely cause or involve forced eviction? NWill the proposed project likely affect land tenure arrangements, including communal and/or customary/traditional land tenure patterns negatively?

N

Safeguard Standard 5: Indigenous peoples10

Will indigenous peoples be present in the proposed project area or area of influence? Maybe Countries may include participation of indigenous communities in project implementation, whenever relevant.

Will the proposed project be located on lands and territories claimed by indigenous peoples? NWill the proposed project likely affect livelihoods of indigenous peoples negatively through affecting the rights, lands and territories claimed by them?

N

Will the proposed project involve the utilization and/or commercial development of natural resources on lands and territories claimed by indigenous peoples?

N

Will the project negatively affect the development priorities of indigenous peoples defined by them? NWill the project potentially affect the traditional livelihoods, physical and cultural survival of indigenous peoples? NWill the project potentially affect the Cultural Heritage of indigenous peoples, including through the commercialization or use of their traditional knowledge and practices?

N

Safeguard Standard 6: Labor and working conditionsWill the proposed project involve the use of forced labor and child labor? NWill the proposed project cause the increase of local or regional un-employment? NSafeguard Standard 7: Cultural Heritage Will the proposed project potentially have negative impact on objects with historical, cultural, artistic, traditional or religious values and archeological sites that are internationally recognized or legally protected?

N

Will the proposed project rely on or profit from tangible cultural heritage (e.g., tourism)? NWill the proposed project involve land clearing or excavation with the possibility of encountering previously undetected tangible cultural heritage?

N

Will the proposed project involve in land clearing or excavation? NSafeguard Standard 8: Gender equity Will the proposed project likely have inequitable negative impacts on gender equality and/or the situation of women and girls?

N Gender analysis on technology transfer has been integrated in TNA guidance tools and methodologies. For more info, kindly see the section “B.3. Gender Equality and Women’s Empowerment”

Will the proposed project potentially discriminate against women or other groups based on gender, especially regarding participation in the design and implementation or access to opportunities and benefits?

N Same as above.

10 Refer to the Toolkit for the application of the UNEP Indigenous Peoples Policy Guidance for further information. GEF 7 Enabling Activity Template- March 15, 2019 (revised)

101


Comment

Will the proposed project have impacts that could negatively affect women’s and men’s ability to use, develop and protect natural resources, taking into account different roles and positions of women and men in accessing environmental goods and services?

N

Safeguard Standard 9: Economic Sustainability Will the proposed project likely bring immediate or short-term net gain to the local communities or countries at the risk of generating long-term economic burden (e.g., agriculture for food vs. biofuel; mangrove vs. commercial shrimp farm in terms of fishing, forest products and protection, etc.)?

N

Will the proposed project likely bring unequal economic benefits to a limited subset of the target group? N


102

ANNEX Q: ACRONYMS AND ABBREVIATIONS

ADB Asian Development BankAF Adaptation FundAfDB African Development BankBAEF Barrier Analysis and Enabling FrameworkBUR Biennal Update ReportCBIT Capacity-Building Initiative for TransparencyCIC Climate Innovation CentersCOP Conference of the PartiesCTCN Climate Technology Centre and NetworkCTI Climate Technology InitiativeDTU Technical University of DenmarkEBRD European Bank for Reconstruction and DevelopmentENDA Environment and Development in the Third WorldERC Energy Research CentreEST Environmentally Sound TechnologiesGCF Green Climate FundGEF Global Environment FacilityGHG Greenhouse gasGSP Global Support ProgrammeIDB Islamic Development BankIEA International Energy AgencyINDC Intended Nationally Determined ContributionsIRENA International Renewable Energy AgencyLDC Least Developed CountryLEDS Low Emission Development StrategiesMTE Mid Term EvaluationMTEF Medium Term Expenditure FrameworkMTR Mid Term ReviewNAMA National Appropriate Mitigation ActionNAP National Adaptation PlanNAPA National Adaptation Programme of ActionsNC National CommunicationsNDC Nationally Determined Contribution NDA National Designated AuthorityNDE National Designated EntityNDP National Development PlanNGO Non-Governmental OrganizationNIE National Implementing EntityNIP National Investment PlanOFP Operational Focal PointPM Project ManagerPSC Project Steering CommitteePRSP Poverty Reduction Strategy PaperRC Regional CentresSDG Sustainable Development GoalsSE4All Sustainable Energy For AllSIDS Small Island Developing States


103

SPC Pacific CommunityTAP Technology Action PlanTE Terminal EvaluationTEC Technology Executive CommitteeTFM Technology Facilitation MechanismTNA Technology Needs AssessmentUCP University of Cape TownUDP UNEP-Danish Technical University Partnership Centre on Energy, Climate and Sustainable

DevelopmentUNDP United Nations Development ProgrammeUNDAF United Nations Development Assistance FrameworkUNEP United Nations Environment ProgrammeUNFCCC United Nations Convention on Climate ChangeUNIDO United Nations Industrial Development OrganizationUSP University of South Pacific


104

ANNEX R: TABLE OF CONTENT

PagePART I: PROJECT INFORMATION 1

A. Focal Area / Non Focal Area Elements 1B. Project description summary 1C. Sources of co-financing for the project by name and by type 2D. GEF financing resources requested by agency, country and Programming of Funds 2

PART II: ENABLING ACTIVITY JUSTIFICATION 3A. ENABLING ACTIVITY BACKGROUND AND CONTEXT 3

A.1) Global environmental and/or adaptation problems, root causes and barriers that need to be addressed 3A.2) Baseline scenario and any associated baseline projects 4A.3) Consistency with National Priorities

B. ENABLING ACTIVITY GOALS, OBJECTIVES, AND ACTIVITIES8

B.1) Proposed alternative scenario and project framework 12B.2) Stakeholders 23B.3) Gender Equality and Women’s Empowerment 26B.4) Private sector engagement 27B.5) Risks 27B.6) Knowledge Management 28

C. DESCRIBE THE ENABLING ACTIVITY AND INSTITUTIONAL FRAMEWORK FOR PROJECT IMPLEMENTATION

29

C.1) Institutional arrangements 29C.2) Coordination with other initiatives 31

D. DESCRIBE, IF POSSIBLE, THE EXPECTED COST-EFFECTIVENESS OF THE PROJECT 32D.1) Cost effectiveness 32D.2) Global environmental benefits and/or adaptation benefits 33D.3) Innovation, sustainability and potential for scaling up 33D.4) Benefits 34

E. DESCRIBE THE BUDGETED M&E PLAN: 35F. EXPLAIN THE DEVIATIONS FROM TYPICAL COST RANGES 37

PART III: ENDORSEMENT/APPROVAL BY GEF OPERATIONAL FOCAL POINT(S) AND GEF AGENCY(IES)

39

A. RECORD OF ENDORSEMENT OF GEF OPERATIONAL FOCAL POINT(S) ON BEHALF OF THE GOVERNMENT(S)

39

B. CONVENTION PARTICIPATION 40

PART IV: ANNEXES: 41Annex A: Project Results Framework 42Annex B: Responses to Project Reviews 45Annex C: Status of Utilization of PPG 57Annex D: Calendar of Expected Reflows 58Annex E: Project Maps and Coordinates 59Annex F: GEF 7 Core Indicators Worksheet 61Annex G: GEF 7 Taxonomy Worksheet 62Annex H: Terms of Reference for Project Personnel, Consultants and Subcontracts 67Annex I-1: Detailed GEF budget 78


105

PageAnnex I-2: Detailed Cofinance budget 80Annex J: M&E budget and Work Plan 81Annex K: Project implementation arrangements 84Annex L: Project Workplan and Deliverables 91Annex M: Estimates of Direct and Indirect GHG emission reduction 92Annex N: OFP Endorsement Letters 93Annex O: Co-financing commitment letters from project partners 94Annex P: Environmental, Social and Economic Review Note (ESERN) 97Annex Q: Acronyms and Abbreviations 103Annex R: Table of Content 105


106